NC Register Volume 23 Issue 09 - Office of Administrative Hearings

NORTH CAROLINA 

REGISTER 

VOLUME 23 ● ISSUE 09 ● Pages 725 - 890 

November 3, 2008 

I. EXECUTIVE ORDERS 

Executive Order No. 147 .................................................................................... 725 

II. IN ADDITION 

Summary of Notice of Intent to Remediate a Dry-Cleaning Facility.............. 726 

Resolutions Approving Waivers – Housing Finance Agency......................... 727 – 728 

Notice of Rulemaking – Building Code Council ............................................ 729 – 732 

Brownfields Property – 1927 Tryon Investors, LLC ...................................... 733 

III. PROPOSED RULES 

Agriculture and Consumer Services, Department of 

Pesticide Board ............................................................................................... 734 – 737 

Health and Human Services, Department of 

Medical Care Commission.............................................................................. 737 – 738 

Mental Health/DD/SAS, Division of .............................................................. 738 – 740 

Justice 

Criminal Justice Education and Training Standards Commission .................. 740 – 755 

Occupational Licensing Boards and Commissions 

Marriage and Family Therapy Licensure Board ............................................. 755 – 760 

Examiners for Engineers and Surveyors, Board of ......................................... 760 – 779 

State Personnel, Office of 

State Personnel Commission........................................................................... 779 – 780 

IV. APPROVED RULES........................................................................................ 781 – 875 

Administrative Hearings, Office of 

Administrative Hearings 

Agriculture, Department of 

Agriculture, Board of 

Environment and Natural Resources, Department of 

Department 

Marine Fisheries 

Health and Human Services, Department of 

Medical Care Commission 

Public Health, Commission for 

Social Services Commission 

Insurance, Department of 

Department 

Labor, Department of 

Department 

Occupational Licensing Boards and Commission 

Massage and Bodywork Therapy, Board of 

V. RULES REVIEW COMMISSION ................................................................. 876 – 883 

VI. CONTESTED CASE DECISIONS 

Index to ALJ Decisions ...................................................................................... 884 – 890 

This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13

Contact List for Rulemaking Questions or Concerns 

For questions or concerns regarding the Administrative Procedure Act or any of its components, consult 

with the agencies below. The bolded headings are typical issues which the given agency can address, 

but are not inclusive. 

Rule Notices, Filings, Register, Deadlines, Copies of Proposed Rules, etc. 

Office of Administrative Hearings 

Rules Division 

1711 New Hope Church Road (919) 431-3000 

Raleigh, North Carolina 27609 

(919) 431-3104 FAX 

contact: Molly Masich, Codifier of Rules molly.masich@ncmail.net (919) 431-3071 

Dana Vojtko, Publications Coordinator dana.vojtko@ncmail.net (919) 431-3075 

Julie Edwards, Editorial Assistant julie.edwards@ncmail.net (919) 431-3073 

Felicia Williams, Editorial Assistant felicia.s.williams@ncmail.net (919) 431-3077 

Rule Review and Legal Issues 

Rules Review Commission 

1711 New Hope Church Road (919) 431-3000 

Raleigh, North Carolina 27609 

(919) 431-3104 FAX 

contact: Joe DeLuca Jr., Commission Counsel joe.deluca@ncmail.net (919) 431-3081 

Bobby Bryan, Commission Counsel bobby.bryan@ncmail.net (919) 431-3079 

Tammara Chalmers, Admin Assistant tammara.chalmers@ncmail.net (919) 431-3083 

Fiscal Notes & Economic Analysis 

Office of State Budget and Management 

116 West Jones Street (919) 807-4700 

Raleigh, North Carolina 27603-8005 

(919) 733-0640 FAX 

contact: William Crumbley, Economic Analyst william.crumbley@ncmail.net (919) 807-4740 

Governor’s Review 

Reuben Young 

reuben.young@ncmail.net 

Legal Counsel to the Governor (919) 733-5811 

116 West Jones Street(919) 

Raleigh, North Carolina 27603 

Legislative Process Concerning Rule-making 

Joint Legislative Administrative Procedure Oversight Committee 

545 Legislative Office Building 

300 North Salisbury Street (919) 733-2578 


(919) 715-5460 FAX 

contact: Karen Cochrane-Brown, Staff Attorney 

Jeff Hudson, Staff Attorney 

karenc@ncleg.net 

jeffreyh@ncleg.net 

County and Municipality Government Questions or Notification 

NC Association of County Commissioners 

215 North Dawson Street (919) 715-2893 


contact: Jim Blackburn 

Rebecca Troutman 

jim.blackburn@ncacc.org 

rebecca.troutman@ncacc.org 

NC League of Municipalities (919) 715-4000 

215 North Dawson Street 


contact: Anita Watkins 

awatkins@nclm.org 


NORTH CAROLINA REGISTER 

Publication Schedule for January 2008 – December 2008 

FILING DEADLINES NOTICE OF TEXT PERMANENT RULE 

TEMPORARY 

RULES 

Volume & 

issue 

number 

Issue date 

Last day 

for filing 

Earliest date for 

public hearing 

End of required 

comment 

period 

Deadline to submit 

to RRC 

for review at 

next meeting 

Earliest Eff. 

Date of 

Permanent Rule 

Delayed Eff. Date of 

Permanent Rule 

31st legislative day of the 

session beginning: 

270 th day from publication 

in the Register 

22:13 01/02/08 12/06/07 01/17/08 03/03/08 03/20/08 05/01/08 05/13/08 09/28/08 

22:14 01/15/08 12/19/07 01/30/08 03/17/08 03/20/08 05/01/08 05/13/08 10/11/08 

22:15 02/01/08 01/10/08 02/16/08 04/01/08 04/21/08 06/01/08 01/2009 10/28/08 

22:16 02/15/08 01/25/08 03/01/08 04/15/08 04/21/08 06/01/08 01/2009 11/11/08 

22:17 03/03/08 02/11/08 03/18/08 05/02/08 05/20/08 07/01/08 01/2009 11/28/08 

22:18 03/17/08 02/25/08 04/01/08 05/16/08 05/20/08 07/01/08 01/2009 12/12/08 

22:19 04/01/08 03/10/08 04/16/08 06/02/08 06/20/08 08/01/08 01/2009 12/27/08 

22:20 04/15/08 03/25/08 04/30/08 06/16/08 06/20/08 08/01/08 01/2009 01/10/09 

22:21 05/01/08 04/10/08 05/16/08 06/30/08 07/21/08 09/01/08 01/2009 01/26/09 

22:22 05/15/08 04/24/08 05/30/08 07/14/08 07/21/08 09/01/08 01/2009 02/09/09 

22:23 06/02/08 05/09/08 06/17/08 08/01/08 08/20/08 10/01/08 01/2009 02/27/09 

22:24 06/16/08 05/23/08 07/01/08 08/15/08 08/20/08 10/01/08 01/2009 03/13/09 

23:01 07/01/08 06/10/08 07/16/08 09/02/08 09/22/08 11/01/08 01/2009 03/28/09 

23:02 07/15/08 06/23/08 07/30/08 09/15/08 09/22/08 11/01/08 01/2009 04/11/09 

23:03 08/01/08 07/11/08 08/16/08 09/30/08 10/20/08 12/01/08 01/2009 04/28/09 

23:04 08/15/08 07/25/08 08/30/08 10/14/08 10/20/08 12/01/08 01/2009 05/12/09 

23:05 09/02/08 08/11/08 09/17/08 11/03/08 11/20/08 01/01/09 01/2009 05/30/09 

23:06 09/15/08 08/22/08 09/30/08 11/14/08 11/20/08 01/01/09 01/2009 06/12/09 

23:07 10/01/08 09/10/08 10/16/08 12/01/08 12/22/08 02/01/09 05/2010 06/28/09 

23:08 10/15/08 09/24/08 10/30/08 12/15/08 12/22/08 02/01/09 05/2010 07/12/09 

23:09 11/03/08 10/13/08 11/18/08 01/02/09 01/20/09 03/01/09 05/2010 07/31/09 

23:10 11/17/08 10/24/08 12/02/08 01/16/09 01/20/09 03/01/09 05/2010 08/14/09 

23:11 12/01/08 11/05/08 12/16/08 01/30/09 02/20/09 04/01/09 05/2010 08/28/09 

23:12 12/15/08 11/20/08 12/30/08 02/13/09 02/20/09 04/01/09 05/2010 09/11/09 


EXPLANATION OF THE PUBLICATION SCHEDULE 

This Publication Schedule is prepared by the Office of Administrative Hearings as a public service and the computation of time periods are not to be deemed binding or controlling. 

Time is computed according to 26 NCAC 2C .0302 and the Rules of Civil Procedure, Rule 6. 

GENERAL 

The North Carolina Register shall be published twice 

a month and contains the following information 

submitted for publication by a state agency: 

(1) temporary rules; 

(2) notices of rule-making proceedings; 

(3) text of proposed rules; 

(4) text of permanent rules approved by the Rules 

Review Commission; 

(5) notices of receipt of a petition for municipal 

incorporation, as required by G.S. 120-165; 

(6) Executive Orders of the Governor; 

(7) final decision letters from the U.S. Attorney 

General concerning changes in laws affecting 

voting in a jurisdiction subject of Section 5 of 

the Voting Rights Act of 1965, as required by 

G.S. 120-30.9H; 

(8) orders of the Tax Review Board issued under 

G.S. 105-241.2; and 

(9) other information the Codifier of Rules 

determines to be helpful to the public. 

COMPUTING TIME: In computing time in the 

schedule, the day of publication of the North Carolina 

Register is not included. The last day of the period so 

computed is included, unless it is a Saturday, Sunday, 

or State holiday, in which event the period runs until 

the preceding day which is not a Saturday, Sunday, or 

State holiday. 

FILING DEADLINES 

ISSUE DATE: The Register is published on the first 

and fifteen of each month if the first or fifteenth of 

the month is not a Saturday, Sunday, or State holiday 

for employees mandated by the State Personnel 

Commission. If the first or fifteenth of any month is 

a Saturday, Sunday, or a holiday for State employees, 

the North Carolina Register issue for that day will be 

published on the day of that month after the first or 

fifteenth that is not a Saturday, Sunday, or holiday for 

State employees. 

LAST DAY FOR FILING: The last day for filing for any 

issue is 15 days before the issue date excluding 

Saturdays, Sundays, and holidays for State 

employees. 

NOTICE OF TEXT 

EARLIEST DATE FOR PUBLIC HEARING: The hearing 

date shall be at least 15 days after the date a notice of 

the hearing is published. 

END OF REQUIRED COMMENT PERIOD 

An agency shall accept comments on the text of a 

proposed rule for at least 60 days after the text is 

published or until the date of any public hearings held 

on the proposed rule, whichever is longer. 

DEADLINE TO SUBMIT TO THE RULES REVIEW 

COMMISSION: The Commission shall review a rule 

submitted to it on or before the twentieth of a month 

by the last day of the next month. 

FIRST LEGISLATIVE DAY OF THE NEXT REGULAR 

SESSION OF THE GENERAL ASSEMBLY: This date is 

the first legislative day of the next regular session of 

the General Assembly following approval of the rule 

by the Rules Review Commission. See G.S. 150B- 

21.3, Effective date of rules. 


EXECUTIVE ORDERS 

23:09 NORTH CAROLINA REGISTER NOVEMBER 3, 2008 

725

IN ADDITION 

SUMMARY OF NOTICE OF INTENT TO REMEDIATE A DRY-CLEANING SOLVENT FACILITY OR ABANDONED 

SITE 

Dry Clean Express 

DSCA Site No. 63-0005 

Pursuant to N.C.G.S. §143-215.104L, Derby Investment Company, LLC has filed with the North Carolina Department of 

Environment and Natural Resources (DENR) a Notice of Intent to Remediate a Dry-Cleaning Solvent Facility or Abandoned Site 

(NOI). The purpose of this summary is to notify the public of the proposed remedy for the affected property and invite comment on 

the proposed remedy. 

The Property consists of the following parcel in Southern Pines, Moore County, North Carolina identified by street address and by the 

following property tax parcel identification numbers: 

1930 North Poplar Street 

Parcel Number 857115720651 

Dry-cleaning solvent contamination has been discovered in soil and groundwater on a portion of the Property. The proposed remedy 

includes land use restrictions to control current and future site risks at the property referenced above. 

The NOI is available for review by the public at the address provided below. To arrange a review of the NOI or for additional 

information, contact Dianne Thomas at (919) 508-8483. Written public comments may be submitted to DENR no later than January 2, 

2009. Written requests for a public meeting may be submitted to DENR no later than December 2, 2008. All such comments and 

requests should be addressed as follows: 

Dianne Thomas, DSCA Program 

Special Remediation Branch 

Superfund Section 

Division of Waste Management 

North Carolina Department of Environment and Natural Resources 

401 Oberlin Road, Suite 150 



726

IN ADDITION 

RESOLUTION APPROVING WAIVERS IN THE 

HOME PROTECTION PILOT PROGRAM 

RESOLUTION 09-4 

WHEREAS, the N.C. General Assembly did adopt House Bill 1414 in the 2004 Session and it contained a special provision 

directing the N.C. Housing Finance Agency (the “Agency”) to design and implement a Home Protection Pilot Program (the 

“Program”); and 

WHEREAS, the General Assembly did adopt House Bill 2436 in the 2008 Session that removed the pilot status from the 

Home Protection Program and incorporated its authorization in the N.C. General Statutes; and 

WHEREAS, the staff of the Agency has conducted extensive research into the appropriate design of the Program, in order to 

better assist home owners through a partnership with local counseling agencies, and staff has produced Program procedures and 

guidelines that were adopted by the Board of Directors through Resolution 05-16 in November, 2004; and 

WHEREAS, staff has performed a quality control audit of all closed Program loans and identified those cases where staff 

provided exceptions to the loan amount or duration of loan assistance in order to increase the likelihood of a successful outcome for 

the homeowner; 

NOW, THEREFORE, BE IT RESOLVED THAT: 

Section 1. The Board of Directors approves a waiver of the guidelines for either the loan amount or the loan duration, or 

both, under the Home Protection Pilot Program (now the Home Protection Program), for those homeowners listed on Exhibit 1. 

Section 2. The Board of Directors approves the use of deferred payment (nonamortizing) loans for all homeowners receiving 

assistance under the Home Protection Pilot Program (now the Home Protection Program). 

Section 3. The Board of Directors authorizes the Executive Director to approve individual waivers of the guidelines only 

where it is essential to the effectiveness of the Home Protection Program and the Executive Director is required to report any such 

waivers at the next regular meeting of the Board of Directors after the waiver is provided. 

Section 4. This Resolution was adopted September 25, 2008. 

NORTH CAROLINA HOUSING FINANCE AGENCY 

___________________________________________ 


727

IN ADDITION 

RESOLUTION AUTHORIZING REVISED LOAN GUIDELINES FOR THE 

HOME PROTECTION PROGRAM 

RESOLUTION 09-5 

WHEREAS, the N.C. General Assembly did adopt House Bill 1414 in the 2004 Session and it contained a special provision 

directing the N.C. Housing Finance Agency (the “Agency”) to design and implement a Home Protection Pilot Program; and 

WHEREAS, the General Assembly did adopt House Bill 2436 in the 2008 Session that removed the pilot status from the 

Home Protection Program (the “Program”) and incorporated its authorization in the N.C. General Statutes; and 

WHEREAS, the purpose of the Program is to help homeowners who are in danger of losing their homes due to a job loss and 

through no fault of their own; and 

WHEREAS, the staff of the Agency has conducted extensive research into the appropriate design of the Program, in order to 

better assist homeowners through a partnership with local counseling agencies and staff has produced Program procedures and 

guidelines; and 

WHEREAS, the staff recommends revisions to the Program guidelines, so that the Program can provide assistance that will 

increase the likelihood that homeowners who lose their jobs will avoid losing their homes; 

NOW, THEREFORE, BE IT RESOLVED THAT: 

Section 1. The Board of Directors authorizes the use of a maximum loan amount of $24,000 for long term assistance and a 

maximum loan duration of 24 months for long term assistance for eligible borrowers in the Home Protection Program. 

Section 2. The Board of Directors authorizes the Executive Director to publish any other necessary procedures that are 

required to fully operate the Program. 

Section 3. This Resolution supersedes Resolution 05-16. 

Section 4. This Resolution was adopted September 25, 2008. 

NORTH CAROLINA HOUSING FINANCE AGENCY 

_______________________________________________ 


728

IN ADDITION 

NOTICE OF RULE MAKING PROCEEDINGS AND PUBLIC HEARING 

NORTH CAROLINA BUILDING CODE COUNCIL 

Notice of Rule-making Proceedings is hereby given by NC Building Code Council in accordance with G.S. 150B-21.5(d). 

Citation to Existing Rule Affected by this Rule-Making: North Carolina Building, Electrical, Plumbing and Residential Codes. 

Authority for Rule-making: G.S. 143-136; 143-138. 

Reason for Proposed Action: To incorporate changes in the NC State Building Codes as a result of rulemaking petitions filed with 

the NC Building Code Council and to incorporate changes proposed by the Council. 

Public Hearing: December 8, 2008, 1:00PM, Wake County Commons, 4011 Carya Drive, Raleigh, NC 27610 

Comment Procedures: Written comments may be sent to Chris Noles, Secretary, NC Building Code Council, NC Department of 

Insurance, 322 Chapanoke Road, Suite 200, Raleigh, NC 27603. Comment period expires on January 2, 2009. 

Statement of Subject Matter: 

1. Request by David Smith, on behalf of the Residential Ad-Hoc Committee, to amend the 2009 NC Residential Code. The 

proposed amendment is as follows: 

R202 SUNROOM ADDITION. A one-story structure attached added to an existing dwelling with a glazing area in excess of 40 

percent of the gross area of the structure’s exterior walls and roof. 



R311.2.2 Under stair protection. Deleted. Enclosed accessible space under stairs shall have walls, under stair surface and any soffits 

protected on the enclosed side with ½-inch (12.7mm) gypsum board. 

3. Request by Jeff Griffin, Mecklenburg County Government, to amend the 2009 NC Residential Code, Section R311.5.8. The 


R311.5.8 Special stairways. Circular stairways, spiral stairways, winders, bulkhead enclosure and bowed head stairways shall comply 

with all requirements of section R311.5 except as specified below. 

R311.5.8.3 Bowed tread stairways. Bowed tread stairways are permitted provided they are uniform in bowed tread depth along entire 

width of tread with not more than 3/8” variance from greatest to smallest tread in the stairway flight. At no point shall the tread be less 

than a minimum of 9 inches with a nosing as listed in section R311.5.3.2 and R311.5.3.3 respectfully. 

R311.5.8.3.1 Standard stairway application. The bottom 3 treads in a standard straight run stairway application as listed under 

section R311.5.3.2 are permitted to bow provided at no point along the width of the tread they are less than 9” as measured under 

section R311.5.3.2 and each bowed tread is uniformed with other bowed treads with no more than 3/8” variance from greatest to least. 

Nosing is required as listed in section R311.5.3. 

R311.5.8.3.2 Bowed tread circular stairways. Bowed treads in a circular stairway are permitted provided they are uniformed as per 

winder treads as listed in section R311.5.3.2 measured at a point 12” from the side where the treads are narrower. At this walk line 

bowed treads must be uniformed with other circular stairway treads with the greatest tread not to exceed the smallest by more than 

3/8”. Nosing is required as listed in section R311.5.3. 

Figures R311.5.8.3, R311.5.8.3.1, and R311.5.8.3.2, are also to be added to commentary to explain code section application. 

4. Request by John Hitch, AIA to amend the 2009 NC Building Code as follows: 

903.2.1.2 Group A-2. An automatic sprinkler system shall be provided for Group A-2 occupancies where one of the following 

conditions exists: 

1. The fire area exceeds 5,000 square feet (464.5 m2); 

2. The fire area has an occupant load of 100 300 or more, except 100 for nightclubs; or 

3. The fire area is located on a floor other than the level of exit discharge. 

SECTION 202 DEFINITIONS 

NIGHTCLUB. See Section 902.1. 

SECTION 902 DEFINITIONS 

NIGHTCLUB. An establishment meeting all of the following: 


729

IN ADDITION 

1. Has a posted capacity or occupant load that exceeds one occupant per 15 square feet net; 

2. Provides live or recorded entertainment by performing artists; and 

3. Serves alcoholic beverages. 



R404.5 Retaining walls. Retaining walls that are not laterally supported at the top and that retain in excess of 24 inches (610 mm) of 

unbalanced fill shall be designed to ensure stability against overturning, sliding, excessive foundation pressure and water uplift. 

Retaining walls shall be designed for a safety factor of 1.5 against lateral sliding and overturning. Delete. 



406.1 Concrete and masonry foundation dampproofing. 

Foundation walls where the outside grade is higher than the inside grade, shall be dampproofed from the top of the footing to the 

finished grade. Masonry walls shall have not less than 3/8 inch (9.5 mm) Portland cement parging applied to the exterior of the wall. 

The foundation walls shall be dampproofed with a bituminous coating, 3 pounds per square yard (1.63 kg/m²) of acrylic modified 

cement, or 1/8-inch (3.2 mm) coat of surface-bonding mortar complying with ASTM C 887 or any material permitted for 

waterproofing in Section R406.2. Concrete walls shall be dampproofed by applying any one of the above listed dampproofing 

materials or any one of the waterproofing materials listed in Section R406.2 to the exterior of the wall. 



N1102.2.10 Thermally isolated sunroom addition insulation. The minimum ceiling insulation R-values shall be R-19 in zones 1 

through 4 and R-24 in zones 5 through 8. The minimum wall R-value shall be R-13 in all zones. New wall(s) separating the sunroom 

from conditioned space shall meet the building thermal envelope requirements. 



N1102.3.5 Thermally isolated sunroom addition U-factor. For zones 4 through 8 the maximum fenestration U-factor shall be 0.50 

and the maximum skylight U-factor shall be 0.75. New windows and doors separating the sunroom from conditioned space shall meet 

the building thermal envelope requirements. Conditioned sunroom additions shall maintain thermal isolation; shall not be used as 

kitchens or sleeping rooms; and shall be served by a separate heating or cooling system, or be thermostatically controlled as a separate 

zone of the existing system. 

9. Request by Wendy Purser, Hampstead Pool, Spa & Patio, Inc., to amend the 2009 NC Residential Code, Appendix G. The 


(1) Delete and substitute as follows: 

AG106.1 General. Suction outlets shall be designed and installed in accordance with ANSI/APSP-7. to produce circulation 

throughout the pool or spa. Single outlet systems, such as automatic vacuum cleaner systems, or multiple suction outlets whether 

isolated by valves or otherwise shall be protected against user entrapment. 

(2) Delete without substitution: 

AG106.2 Suction fittings. Pool and spa suction outlets shall have a cover that conforms to ANSI/ASME A112.19.8M, or an 18 inch x 

23 inch (457mm by 584mm) drain grate or larger, or an approved channel drain system. 

Exception: Surface skimmers 

AG106.3 Atmospheric vacuum relief system required. Pool and spa single or multiple outlet circulation systems shall be equipped 

with atmospheric vacuum relief should grate covers located therein become missing or broken. This vacuum relief system shall 

include at least one approved or engineered method of the type specified herein, as follows: 

1. Safety vacuum release system conforming to ASME A112.19.17; or 

2. An approved gravity drainage system. 

AG106.4 Dual drain separation. Single or multiple pump circulation systems shall be provided with a minimum of two (2) suction 

outlets of the approved type. A minimum horizontal or vertical distance of three (3) feet (914 mm) shall separate the outlets. These 

suction outlets shall be piped so that water is drawn through them simultaneously through a vacuum-relief protected line to the pump 

or pumps. 

AG106.5 Pool cleaner fittings. Where provided, vacuum or pressure cleaner fitting(s) shall be located in an accessible position(s) at 

least (6) inches (152 mm) and not more than (12) inches (305 mm) below the minimum operational water level or as an attachment to 

the skimmer(s). 


730

IN ADDITION 

(3) Add standard to Section AG 108 as follows: 

ANSI/APSP-7-06 Standard for Suction Entrapment Avoidance in Swimming Pools, Wading Pools, Spas, Hot Tubs, and Catch Basins 

(4) Update standard in Section AG 108 as follows: 

ASME/ANSI A112.19.17-07 Suction Fittings for Use in Swimming Pools, Wading Pools … 

ANSI/ASME A112.19.8M-1987 2007 Suction Fittings for Use in Swimming Pools, Wading Pools … 

ANSI/NSPI APSP-4-99 07 Standard for Above-ground/On-ground Residential Swimming Pools 

ANSI/NSPI-5-99 03 Standard for Residential In-ground Swimming Pools 

10. Request by Wendy Purser, Hampstead Pool, Spa & Patio, Inc., to amend the 2009 NC Residential Code, Appendix G. The 


(1) Add new definition to Section AG102: 

UNBLOCKABLE DRAIN. – A drain of any size and shape that a human body cannot sufficiently block to create a suction 

entrapment hazard. 

(2) Delete and modify as follows: 

AG106.1 General. Suction outlets shall be designed and installed in accordance with one of the following: ANSI/APSP-7. to produce 

circulation throughout the pool or spa. Single outlet systems, such as automatic vacuum cleaner systems, or multiple suction outlets, 

whether isolated by valves or otherwise, shall be protected against user entrapment. 

1. ANSI/APSP-7, or 

2. All of the provisions of Section AG 106.2 through Section AG 106.5. 

(3) Add new section: 

AG106.2 Drain Configuration. Pools and spas shall be designed and installed with one of the following: 

1. More than one suction outlet (drain), with a minimum horizontal or vertical distance of 3 ft (914 mm) between outlets. Maximum 

water velocity in suction branch piping shall be limited to 3 feet per second or a maximum of 6 feet per second (fps) (1.829 mps) if 

one of a pair of suction outlets is blocked 

2. One or more unblockable drains, or 

3. No main drain 

(4) Modify as follows 

AG106.23 Suction fittings. Pool and spa suction outlets shall have a cover that conforms to ANSI/ASME A112.19.8M or an 18 inch 

x 23 inch (457 mm by 584 mm) drain grate or larger, or an approved channel drain system. 

Exception: Surface skimmers 

AG106.3.1 All suction outlet covers/grates shall have a permanently marked flow rating tested to prevent hair entrapment. 

AG106.3.2 The marked flow rating provided on the suction outlet cover shall exceed the flow rate of the circulation system it is 

protecting. 

AG106.34 Atmospheric vacuum relief system required. All pools and spas that have a single drain other than an unblockable drain 

shall be equipped with one or more of the following: 

1. Safety vacuum release system which ceases operation of the pump, reverses the circulation flow, or otherwise provides a vacuum 

release at a suction outlet when a blockage is detected, that has been listed and labeled to conform to ANSI/ASME A112.19.17; or 

ASTM F 2387, or 

2. An approved gravity drainage system that utilizes a collector tank, or 

3. A suction-limiting vent system with a tamper resistant atmospheric opening, or 

4. An automatic pump shut-off system, or 

5. A drain disablement system. 

Pool and spa single- or multiple-outlet circulation systems shall be equipped with atmospheric vacuum relief should grate covers 

located therein become missing or broken. This vacuum relief system shall include at least one approved or engineered method of the 

type specified herein, as follows: 

1. Safety vacuum release system conforming to ASME A112.19.17; or 

2. An approved gravity drainage system 

AG106.4 Dual drain separation. Single or multiple pump circulation systems shall be provided with a minimum of two suction 

outlets of the approved type. A minimum horizontal or vertical distance of 3 feet (914 mm) shall separate the outlets. These suction 

outlets shall be piped so that water is drawn through them simultaneously through a vacuum relief-protected line to the pump or 

pumps. 


731

IN ADDITION 

AG106.5 Pool cleaner fittings. Where provided vacuum or pressure cleaner fitting(s) shall be designed to protect against limb 

entrapment. Vacuum cleaner fitting(s) shall be located in an accessible position(s) at least 6 inches (152 mm) and not greater than 12 

inches (305 mm) below the minimum operational water level. 

Exception: Vacuum cleaner fitting(s) when used as an attachment to the skimmer(s). 

(5) Add standards to Section AG 108 as follows: 

ANSI/APSP-7-06 Standard for Suction Entrapment Avoidance in Swimming Pools, Wading Pools, Spas, Hot Tubs, and Catch Basins 

ASTM F2387 – 04 Standard Specification for Manufactured Safety Vacuum Release Systems (SVRS) for Swimming Pools, Spas and 

Hot Tubs 

(6) Update standard in Section AG 108 as follows: 

ASME/ANSI A112.19.17-07 Suction Fittings for Use in Swimming Pools, Wading Pools … 

ANSI/ASME A112.19.8M-1987 2007 Suction Fittings for Use in Swimming Pools, Wading Pools … 

ANSI/NSPI APSP-4-99 07 Standard for Above-ground/On-ground Residential Swimming Pools 

ANSI/NSPI-5-99 03 Standard for Residential In-ground Swimming Pools 

11. Request by Eric Doran, Hatteras Pools, to amend the 2009 NC Residential Code. The proposed amendment is as follows: 

AG106.3 Atmospheric vacuum relief system required. All pool and spa single or multiple outlet circulation systems shall be 

equipped with atmospheric vacuum relief should grate covers located therein become missing or broken. Such vacuum relief systems 

shall include at least one approved or engineered method of the type specified herein, as follows: 

1. Safety vacuum release system conforming to ASME A112.19.17, or 

2. An approved gravity drainage system. 

Exception: Surface Skimmers 

12. Request by Danny Hair, City of Raleigh, to amend the 2008 NC Electrical Code. The proposed amendment is as follows: 

(Add an exception to section 338.10(A)(4)(a) of the 2008 NC Electrical Code) 

(4) Installation Methods for Branch Circuits and Feeders. 

(a) Interior Installations. In addition to the provisions of this article, Type SE service-entrance cable used for interior wiring shall 

comply with the installation requirements of Part II of Article 334. 

Exception: Type SE service-entrance cable not installed within framing member with thermal insulation or areas that may be 

insulated in the future, shall not be required to comply with the 60 degree C ampacity limitation in section 334.80. 

13. Request by New Hanover County Code Enforcement, to amend the 2008 NC Electrical Code. The proposed amendment is 

as follows: 

338.10 (B)(4)(a) 

Interior installations. In addition to the provisions of this article, Type SE service-entrance cable used for interior wiring shall comply 

with the installation requirements of Part II of Article 334, excluding 334.80. 


732

IN ADDITION 

SUMMARY OF NOTICE OF 

INTENT TO REDEVELOP A BROWNFIELDS PROPERTY 

1927 Tryon Investors, LLC 

Pursuant to N.C.G.S. § 130A-310.34, 1927 Tryon Investors, LLC has filed with the North Carolina Department of 

Environment and Natural Resources (“DENR”) a Notice of Intent to Redevelop a Brownfields Property (“Property”) in Charlotte, 

Mecklenburg County, North Carolina. The Property, which is the former site of Hughes Plumbing Supply, Ltd, consists of 1.7 acres 

and is located at 1927 South Tryon Street. Environmental contamination exists on the Property in groundwater. 1927 Tryon 

Investors, LLC has committed itself to redevelopment plans for the Property that includes retail and office use, with ground level use 

restricted to parking. The Notice of Intent to Redevelop a Brownfields Property includes: (1) a proposed Brownfields Agreement 

between DENR and 1927 Tryon Investors, LLC, which in turn includes (a) a map showing the location of the Property, (b) a 

description of the contaminants involved and their concentrations in the media of the Property, (c) the above-stated description of the 

intended future use of the Property, and (d) proposed investigation and remediation; and (2) a proposed Notice of Brownfields 

Property prepared in accordance with G.S. 130A-310.35. 

The full Notice of Intent to Redevelop a Brownfields Property may be reviewed at the Public Library of Charlotte & 

Mecklenburg County, 310 N. Tryon St., Charlotte, NC 28202 by contacting Allison Aiken at that address or at (704) 336-2725; or at 

the offices of the N.C. Brownfields Program, 401 Oberlin Rd., Suite 150, Raleigh, NC 27605 by contacting Shirley Liggins at that 

address (where DENR will provide auxiliary aids and services for persons with disabilities who wish to review the documents), at 

shirley.liggins@ncmail.net or at (919) 508-8411. 

Written public comments may be submitted to DENR within 30 days after the date this Notice is published in a newspaper of 

general circulation serving the area in which the Property is located, or in the North Carolina Register, whichever is later. Written 

requests for a public meeting may be submitted to DENR within 21 days after the period for written public comments begins. Thus, if 

1927 Tryon Investors, LLC, as it plans, publishes this Summary in the North Carolina Register after it publishes the Summary in a 

newspaper of general circulation serving the area in which the Property is located, and if it effects publication of this Summary in the 

North Carolina Register on the date it expects to do so, the periods for submitting written requests for a public meeting regarding this 

project and for submitting written public comments will commence on November 4, 2008. All such comments and requests should be 

addressed as follows: 

Mr. Bruce Nicholson 

Brownfields Program Manager 

Division of Waste Management 

NC Department of Environment and Natural Resources 

401 Oberlin Road, Suite 150 



733

PROPOSED RULES 

Note from the Codifier: The notices published in this Section of the NC Register include the text of proposed rules. The agency 

must accept comments on the proposed rule(s) for at least 60 days from the publication date, or until the public hearing, or a 

later date if specified in the notice by the agency. If the agency adopts a rule that differs substantially from a prior published 

notice, the agency must publish the text of the proposed different rule and accept comment on the proposed different rule for 60 

days. 

Statutory reference: G.S. 150B-21.2. 

TITLE 02 – DEPARTMENT OF AGRICULTURE AND 

CONSUMER SERVICES 

Notice is hereby given in accordance with G.S. 150B-21.2 that 

the NC Pesticide Board intends to adopt the rules cited as 02 

NCAC 09L .0810, .1914, amend the rule cited as 02 NCAC 09L 

.1901, and repeal the rules cited as 02 NCAC 09L .0801 - .0809. 

Proposed Effective Date: March 1, 2009 

Public Hearing: 

Date: January 13, 2009 

Time: 1:00 p.m. 

Location: Martin Building, NC State Fairgrounds, 1025 Blue 

Ridge Road, Raleigh, NC 27607 

Reason for Proposed Action: These rules are necessary to 

bring North Carolina's rule on Bulk Distribution of Pesticides 

(02 NCAC 09L .0800) and Pesticide Storage (02 NCAC 09L 

1900) into compliance with the US EPA's final rules titled 

"Pesticide Management and Disposal; Standards for Pesticide 

Containers and Containment", which become effective August, 

2009 and establish standards for pesticide containers and 

containment structures in order to protect the environment from 

spills and leaks at refilling and dispensing operations. By the 

effective date of the federal rules, each state must demonstrate 

that it has rules in effect which are at least as stringent as the 

federal rules; or are identical to the federal rules; or 

incorporate the federal rules by reference. 

Procedure by which a person can object to the agency on a 

proposed rule: Any person may object to the proposed rules by 

submitting a written statement of objection(s) to James W. 

Burnette, Jr., Secretary, NC Pesticide Board, 1090 Mail Service 

Center, Raleigh, NC 27699-1090. 

Comments may be submitted to: James W. Burnette, 1090 

Mail Service Center, Raleigh, NC 27699-1090, phone (919) 

733-3556, fax (919) 733-9796, email james.burnette@ncagr.gov 

Comment period ends: January 13, 2009 

Procedure for Subjecting a Proposed Rule to Legislative 

Review: If an objection is not resolved prior to the adoption of 

the rule, a person may also submit written objections to the 

Rules Review Commission. If the Rules Review Commission 

receives written and signed objections in accordance with G.S. 

150B-21.3(b2) from 10 or more persons clearly requesting 

review by the legislature and the Rules Review Commission 

approves the rule, the rule will become effective as provided in 

G.S. 150B-21.3(b1). The Commission will receive written 

objections until 5:00 p.m. on the day following the day the 

Commission approves the rule. The Commission will receive 

those objections by mail, delivery service, hand delivery, or 

facsimile transmission. If you have any further questions 

concerning the submission of objections to the Commission, 

please call a Commission staff attorney at 919-733-2721. 

Fiscal Impact: 

State 

Local 

Substantive (>$3,000,000) 

None 

CHAPTER 09 - FOOD AND DRUG PROTECTION 

SUBCHAPTER 09L - PESTICIDE SECTION 

SECTION .0800 - BULK DISTRIBUTION OF 

PESTICIDES 

02 NCAC 09L .0801 PROPRIETORSHIP 

The purchaser shall take title to any bulk pesticide formulation 

after the purchaser or his authorized agent accepts said bulk 

pesticide shipment at the designated container or storage tank 

site. 

Authority G.S. 143-441; 143-459; 143-461(1). 

02 NCAC 09L .0802 NOTIFICATION PRIOR TO 

DELIVERY 

The pesticide section of the food and drug protection division of 

the North Carolina Department of Agriculture shall receive 

notification from the formulator or manufacturer at least 24 

hours prior to delivery of any bulk pesticide. This notification 

shall include: 

(1) the names and addresses of the pesticide 

formulator or manufacturer and purchaser, 

(2) the brand name and EPA registration number 

of the pesticide, 

(3) the exact location or valid and current decal 

number of the bulk storage tank to be filled 

with said bulk pesticide formulation, 

(4) the date and time of scheduled delivery to the 

bulk storage tank location. 

Authority G.S. 143-459. 


734


02 NCAC 09L .0803 STORAGE TANK 

SPECIFICATIONS 

(a) Only containers or storage tanks which are unadulterated, 

leak proof, and capable of being sealed shall be filled with 

pesticides. 

(b) All containers or storage tanks shall have a drain plug or 

drain basin designed in such a manner as to facilitate complete 

drainage of tanks. 

(c) All containers or storage tanks of 1000 gallons or less shall 

have a filler or access port at least 10 inches in diameter and 

tanks greater than 1000 gallons at least 15 inches in diameter. 

These minimum sizes are required to facilitate proper cleanup or 

decontamination of drained tanks. 

(d) Outlets and filler and access ports shall be locked at all times 

when not in use. Keys to the outlet, filler and access ports shall 

be in the possession of the purchaser and authorized employee 

only. 

(e) All new containers or storage tanks shall be stainless steel, 

aluminum, mild steel or glass reinforced plastic. The minimum 

specifications for each are as follows: 

Aluminum 

Size Tank Shell Heads--Dished & Flanged 

500-1500 .156" .156" 

1500-6000 .188" .188" 

Stainless Steel--Type 304 


500-1500 13 ga 13 ga 

1500-6000 12 ga 12 ga 

Mild Steel 


500-1500 10 ga 10 ga 

1500-6000 7 ga 7 ga 

In lieu of dished and flanged heads, reinforced flat end tank may 

be used when designed according to ASME specifications 

(Section VIII for unfired pressure vessels). 

Glass Reinforced Plastic 

Size Tank Shell Heads 

500 3/16" 3/16" 

600-1000 9/32" 9/32" 

(f) Pesticides designated by the manufacturer or formulator as 

corrosive to aluminum, stainless steel, mild steel or glass 

reinforced plastic shall not be stored in a bulk container 

fabricated with said material. 


02 NCAC 09L .0804 LABELING REQUIREMENTS 

(a) All containers and storage tanks of pesticides shall be 

properly labeled and shall comply with all other provisions of 

the North Carolina Pesticide Law of 1971 and the regulations 

established thereunder. 

(b) All containers and storage tanks (excluding spray applicator 

tanks) must be labeled as registered. A copy of the label or 

labeling, including all appropriate directions for use, shall be 

securely attached to the container in the immediate vicinity of 

the discharge control valve by the vendor at the time of delivery. 

(c) In addition, the appropriate signal words as shown on the 

label shall be shown on all four sides of the containers and 

storage tanks or those sides exposed to view. The words shall be 

either stenciled directly on the containers or storage tanks or 

placed on a sign of durable construction which is firmly attached 

to the containers and storage tanks. All letters of said words 

shall be a minimum of four inches in height and one inch in 

width, and shall be printed in contrasting colors to the containers 

and storage tanks which are readily visible. 

(d) All entrances to premises on which bulk pesticides are 

stored shall be posted at a reasonable distance from the 

containers and storage tanks with a durable sign (minimum size 

8" x 10") warning of hazardous pesticides in the area. 

Authority G.S. 143-460(19),(20),(23). 

02 NCAC 09L .0805 RECORD REQUIREMENTS 

The purchaser of bulk pesticides shall post within reasonable 

vicinity of the containers and storage tanks a record showing, by 

date, current volumes of pesticide in containers and storage 

tanks. 

History Note: 

Authority G.S. 143-466(a). 

02 NCAC 09L .0806 LOCATION REQUIREMENTS 

Bulk containers and storage tanks shall be located on sites least 

likely to endanger man and his environment. In cases of 

exceptional hazards, grading sufficient to retain spillage and/or 

fencing to prevent undue human exposure may be required. The 

food and drug protection division, North Carolina Department of 

Agriculture, shall make this determination. The food and drug 

protection division shall be notified in writing, containing 

specifics, of plans for relocation of a container at least 10 days 

prior to relocation. 

Authority G.S. 143-441; 143-466(a). 

02 NCAC 09L .0807 SAFETY REQUIREMENTS 

General safety and cleanliness shall be a practice within the area 

of the containers and storage tanks. Adequate transfer systems, 

valves, pumps, fittings, hoses, etc., including the maintenance 

thereof, shall be in effect at all times. 


02 NCAC 09L .0808 NOTIFICATION OF STORAGE 

TANK REQUIREMENTS 

The North Carolina Department of Agriculture, food and drug 

protection division, shall be annually notified in writing of the 


735


exact location of each container or storage tank off the premises 

of the formulator at least 15 days prior to the beginning of filling 

operations. An inspector of the North Carolina Department of 

Agriculture will by appointment with the owner inspect each 

container or storage tank within the aforementioned 15-day 

period. Any container or storage tank utilized for housing bulk 

pesticides prior to inspection and approval constitutes a violation 

of the North Carolina Pesticide Law of 1971. 

Authority G.S. 143-441; 143-466. 

02 NCAC 09L .0809 COMPLIANCE 

REQUIREMENTS 

The owner of the container or storage tank shall be responsible 

for complying with all provisions of this article not otherwise 

specified. 

Authority G.S. 143-434 through 143-470. 

02 NCAC 09L .0810 ADOPTION BY REFERENCE 

The North Carolina Pesticide Board hereby adopts by reference, 

including subsequent amendments, Part 165 of Title 40: 

Protection of Environment of the Code of Federal Regulations, 

entitled "Pesticide Management and Disposal Subpart E – 

Standards for Pesticide Containment Structures." Copies of this 

material may be obtained at no cost from the U.S. Government 

Printing Office website, www.gpoaccess.gov/cfr/index.html. 

Authority G.S. 143-441; 143-461. 

SECTION .1900 - PESTICIDE STORAGE 

02 NCAC 09L .1901 DEFINITIONS 

All specific words or terms used in this Section other than those 

defined in this Rule shall have the same definitions as shown in 

the North Carolina Pesticide Law of 1971, G.S. 143-460. The 

rules contained in this Section shall be deemed to be minimum 

for storage. 

(1) Storage. The act of storing a pesticide or 

pesticide container unless the pesticide or 

pesticide container is being transported or 

used. It does not include: 

(a) 

pesticide containers which are empty 

and triple-rinsed (or equivalent); 

(b) pesticides which meet the 

requirements of a Resource 

Conservation and Recovery Act 

(RCRA) hazardous waste (40 CFR 

261.33) and are in the possession of a 

person possessing a valid EPA RCRA 

identification number as a generator 

(40 CFR 261.12) or transporter (40 

CFR 263.11) of hazardous waste or 

who owns or operates a facility for 

the treatment, storage, or disposal of 

hazardous waste (40 CFR 264.11); 

(2) Commercial Storage. Storage of a pesticide by 

any person from the time of manufacture, prior 

to possession by the end user; 

(3) Storage Facility. Any property or contiguous 

properties under the same ownership used for 

commercial storage of pesticides. Multiple 

storage areas in or on single or contiguous 

properties under the same ownership are 

considered to be in the same storage facility; 

(4) Large Storage Facility. Any storage facility 

that stores 10,000 pounds or more of restricted 

use pesticides at any time; 

(5) Storage Area. That portion of a storage 

facility actually used to store pesticides; 

(6) Contingency Plan. "Contingency Plan" shall 

be a description of a facility's plans and 

capabilities to deal with a pesticide emergency 

resulting from operational procedures, 

accidental releases, fires, or other emergencies. 

A contingency plan shall be deemed adequate 

by the North Carolina Pesticide Board if in the 

opinion of the Board such plan presents 

reasonable assurances that the facility will be 

able to contain or otherwise prevent the release 

of pesticides, to minimize unreasonable 

adverse effects on public health or the 

environment. 

(7) Bulk Storage. Commercial Storage of any 

pesticide held in stationary pesticide 

containers designed to hold undivided 

quantities equal to or greater than 500 gallons 

(1,890 liters) of liquid pesticide or equal to or 

greater than 4,000 pounds (1,818 kilograms) of 

dry pesticide are subject to the regulations in 

this subpart unless any of the following 

conditions exists: 

(a) The container is empty, that is, all 

pesticide that can be removed by the 

methods such as draining, pumping, 

or aspirating has been removed 

(whether or not he container has been 

rinsed or washed). 

(b) The container holds only pesticide 

rinsates or wash waters, and is 

labeled accordingly. 

(c) The container holds only pesticides 

which would be gaseous when 

released at atmospheric temperature 

and pressure. 

(d) The container is dedicated to nonpesticide 

use, and is labeled 

accordingly. 

Authority G.S. 143-437; 143-441; 143-461; 143-466. 

02 NCAC 09L .1914 BULK STORAGE 

REQUIREMENTS 

(a) Outlets, filler and access ports shall be locked at all times 

when not in use. Keys to the outlet, filler and access ports shall 

be in the possession of the purchaser and authorized employees 

only. Locks on ports are not required if bulk tanks are stored 

inside a facility utilizing security precautions that prevent 

unauthorized access to the bulk pesticide storage area. 


736


(b) All bulk pesticide storage tanks must display the appropriate 

signal word as shown on the label on all sides exposed to view. 

The words shall be either stenciled directly on the containers or 

storage tanks or placed on a sign of durable construction which 

is firmly attached to the containers and storage tanks. All letters 

of said words shall be a minimum of four inches in height and 

one inch in width, and shall be printed in contrasting colors to 

the containers and storage tanks which are readily visible. 

(c) All bulk storage areas shall be posted with a durable sign 

stating "PESTICIDE STORAGE," "AUTHORIZED 

PERSONNEL ONLY," "IN CASE OF EMERGENCY 

CALL______" 

(d) Pesticide applicators utilizing bulk storage containers shall 

be subject to the same requirements as set forth in this Rule. 

Authority G.S. 143-441; 143-461. 

TITLE 10A – DEPARTMENT OF HEALTH AND HUMAN 

SERVICES 


the N.C. Medical Care Commission intends to amend the rule 

cited as 10A NCAC 13B .3093. 

Proposed Effective Date: April 1, 2009 


Date: December 17, 2008 

Time: 10:00 a.m. 

Location: Room 113 Council Building, NC Division of Health 

Service Regulation, Dorothea Dix Campus, 701 Barbour Drive, 

Raleigh, NC 27603 

Reason for Proposed Action: The proposed amendment will 

enable hospitals to share medical information with other 

providers of medical services in a manner that complies with 

HIPAA regulations and state law while continuing to ensure that 

only authorized persons have access to protected medical 

information and that a written authorization is present in the 

record in those situations where such written authorization is 

required. 


proposed rule: An individual may object to the agency on the 

proposed rule by submitting written comments on the proposed 

rule. They may also object by attending the public hearing and 

personally voice their objections during that time. 

Comments may be submitted to: Nadine Pfeiffer, Division of 

Health Service Regulation, 2701 Mail Service Center, Raleigh, 

NC 27699-2701, fax (919) 733-2757, email 

DHSR.RulesCoordinator@ncmail.net 


















State 

Local 


None 

CHAPTER 13 – NC MEDICAL CARE COMMISSION 

SECTION .3000 - GENERAL INFORMATION 

10A NCAC 13B .3903 PRESERVATION OF MEDICAL 

RECORDS 

(a) The manager of medical records service shall maintain 

medical records, whether original, computer media, or 

microfilm, for a minimum of 11 years following the discharge of 

an adult patient. 

(b) The manager of medical records shall maintain medical 

records of a patient who is a minor until the patient's 30th 

birthday. 

(c) If a hospital discontinues operation, its management shall 

make known to the Division where its records are stored. 

Records are to be stored in a business offering retrieval services 

for at least 11 years after the closure date. 

(d) Prior to destruction, public notice shall be made to permit 

former patients or their representatives to claim their own 

records. Public notice shall be in at least two forms: written 

notice to the former patient or their representative and display of 

an advertisement in a newspaper of general circulation in the 

area of the facility. 

(e) The manager of medical records may authorize the 

microfilming of medical records. Microfilming may be done on 

or off the premises. If done off the premises, the facility shall 

provide for the confidentiality and safekeeping of the records. 

The original of microfilmed medical records shall not be 

destroyed until the medical records department has had an 

opportunity to review the processed film for content. 

(f) Nothing in this Section shall be construed to prohibit the use 

of automation in the medical records service, provided that all of 

the provisions in this Rule are met and the information is readily 

available for use in patient care. 

(g) All medical records are confidential. Only authorized 

personnel shall have access to the records. The Where the 

written authorization of the a patient is required for the release or 

disclosure of health information, the written authorization of the 

patient or authorized representative shall be maintained in the 


737


original record as authority for the release of medical 

information outside the facility. or disclosure. 

(h) Medical records are the property of the hospital, and they 

shall not be removed from the facility jurisdiction except 

through a court order. Copies shall be made available for 

authorized purposes such as insurance claims and physician 

review. 

Authority G.S. 90-21.20B; 131E-79. 

* * * * * * * * * * * * * * * * * * * * 


the Department of Health and Human Services – DMH/DD/SAS 

intends to repeal the rules cited as 10A NCAC 27G .0701-.0707. 


Instructions on How to Demand a Public Hearing: (must be 

requested in writing within 15 days of notice): A person may 

demand a public hearing on the proposed rules by submitting a 

request in writing to W. Denise Baker, 3018 Mail Service 

Center, Raleigh, NC 27699-3018. 

Reason for Proposed Action: These rules no longer apply to 

the MD/DD/SA Service system, as most LME's have divested 

themselves of service provision, and are dedicated to the 

management of local MH/DD/SA service system issues. Also, 

the use of the term "accreditation" in this context is confusing, 

since accreditation in current MH/DD/SA Reform is a status 

conferred on a LME or a MH/DD/SA service provider by a 

national accreditation agency, whereas this term primarily 

applied to assuring compliance with current rules and 

regulations. 


proposed rule: The objection, reasons for the objection and the 

clearly identified portion of the rule to which the objection 

pertains, may be submitted in writing to W. Denise Baker, 3018 

Mail Service Center, Raleigh, NC 27699-3018. 

Comments may be submitted to: W. Denise Baker, 3018 Mail 

Service Center, Raleigh, NC 27699-3018, phone (919) 715- 

2780, fax (919) 733-1221, email denise.w.baker@ncmail.net 


















State 

Local 


None 

CHAPTER 27 – MENTAL HEALTH, COMMUNITY 

FACILITIES AND SERVICES 

SUBCHAPTER 27G - RULES FOR MENTAL HEALTH, 

DEVELOPMENTAL DISABILITIES, AND SUBSTANCE 

ABUSE FACILITIES AND SERVICES 

SECTION .0700 - ACCREDITATION OF AREA 

PROGRAMS AND SERVICES 

10A NCAC 27G .0701 GENERAL 

(a) For purposes of this Section, "service" means those services 

described in Sections .1000 through .6900 of these Rules, and 

offered by an area program, either directly or through a contract 

provider, as a required or optional service to clients. 

(b) Area programs shall be accredited by DMH/DD/SAS to 

provide specific services according to the rules in this Section. 

No area program shall provide a service, either directly or 

through a contract provider, unless that specific service is 

accredited, except by reciprocity with another area program 

pursuant to Rule .0606 of this Section. 

(c) An area program offering an accredited service may modify 

the means by which it delivers the service, including adding or 

changing service providers. DMH/DD/SAS may require an area 

program to notify it of changes in contract provider status. 

Changes in providers may constitute a change in circumstances 

warranting a reexamination of an accredited service pursuant to 

Rule .0603(e) of this Section. 

(d) Area programs may receive interim accreditation for new 

services in accordance with Rule .0605 of this Section. Area 

programs shall maintain accreditation of services through the 

Accreditation Review process described in Rules .0602 and 

.0603 of this Section. 

(e) DMH/DD/SAS funding of services provided by area 

programs shall be contingent upon accreditation. 

(f) DMH/DD/SAS shall not accredit contract providers. Area 

programs retain their statutory obligations to assure that contract 

providers comply with State law and these Rules, and to monitor 

the performance of contract providers as required by G.S. 122C. 

Authority G.S. 122C-112; 122C-141(b); 122C-142(a); 122C- 

191(d). 

10A NCAC 27G .0702 ACCREDITATION REVIEW 

(a) The Area Authority shall assure that all area-operated and 

contracted services of an area program comply with applicable 

Federal requirements, General Statutes, and rules of the 

Commission, the Secretary and DMH/DD/SAS. 


738


(b) An area program shall be reviewed under the auspices of 

DMH/DD/SAS periodically, and not less than once every three 

years, except when its accreditation period has been extended as 

provided in Rule .0603(f) of this Section. 

(c) The Accreditation Review shall examine each area program 

service for: 

(1) compliance with applicable rules; 

(2) client outcomes; 

(3) achieved levels of client satisfaction; and 

(4) operational and programmatic performance 

meeting applicable standards of practice. 

(d) For purposes of the accreditation process, "applicable 

standards of practice" means a level of competence established 

with reference to the prevailing and accepted methods, and the 

degree of knowledge, skill and care exercised by other 

practitioners in the same discipline. 

(e) Upon completion of the Accreditation Review, 

DMH/DD/SAS shall provide the area authority with an oral 

summary and written report of results. 

(f) At each regularly scheduled public meeting of the 

Commission, DMH/DD/SAS shall report the results of all 

Accreditation Reviews completed since the last Commission 

meeting. 


191(d). 

10A NCAC 27G .0703 ACCREDITATION OF THE 

AREA PROGRAM 

(a) Upon completion of an Accreditation Review, 

DMH/DD/SAS shall accredit the area program for a period of 

between one and three years. The length of the accreditation 

period shall be determined by DMH/DD/SAS based on the 

results of the review and an evaluation of the area program's 

current status, planned changes, and anticipated future needs. 

(b) DMH/DD/SAS may accredit an area program to provide a 

specific service for a shorter period of time than the area 

program's overall accreditation. 

(c) An area program or service accreditation of one year shall be 

accompanied by the development of corrective action plans for 

services or operations specified by DMH/DD/SAS. These plans 

shall be developed by the area program, which shall submit them 

to DMH/DD/SAS for approval. These plans shall be developed 

and implementation begun within 90 days following the 

accreditation review. 

(d) As a condition of accreditation for more than one year, 

DMH/DD/SAS may require an area program to develop and 

submit plans for corrective action and service enhancement. The 

Division Director may specify the scope and time frame for 

submission of the plans based upon the needs determined by the 

Accreditation Review. 

(e) DMH/DD/SAS may conduct Accreditation Reviews at any 

time during an accreditation period in the event of significant 

changes in the membership of the area board, a change in area 

director, complaints by consumers, consumer organizations or 

advocacy groups, failure to submit acceptable corrective action 

or service enhancement plans, failure to implement required 

plans, or other occurrences that suggest a change in 

circumstances warranting a reexamination of the area program, 

its operations, or one or more of the services it provides. This 

review may be a full Accreditation Review of the area program, 

or it may be limited to selected services provided by the area 

program. 

(f) In a case where the Division Director determines that the 

results of an Accreditation Review demonstrate such superior 

program performance that accreditation for a period longer than 

three years is justified, the Division Director may recommend to 

the Commission that an area program's accreditation be extended 

for an additional period not to exceed two years, and the 

Commission may approve such an extension. 


191(d). 

10A NCAC 27G .0704 DENIAL OR REVOCATION OF 

ACCREDITATION 

(a) DMH/DD/SAS may deny or revoke accreditation for an area 

program service: 

(1) upon confirmation that a service subject to 

licensure is not licensed; 

(2) upon receipt of evidence of a condition that 

DMH/DD/SAS determines is a threat to the 

health, safety or welfare of an individual 

served; 

(3) upon an area program's failure to complete 

corrective action or service enhancement in 

accordance with a plan approved by 

DMH/DD/SAS; 

(4) upon determination that: 

(A) the services rendered are not provided 

at the applicable standards of practice 

in the appropriate discipline; 

(B) the area program has received notice 

of the deficiencies and a specified 

time period for remedial action; and 

(C) the area program has failed or refused 

to take appropriate remedial action to 

bring the service to the required level 

of competence; or 

(5) Upon determination of a pattern of behaviors 

that over time show a failure to maintain 

applicable standards of practice or show 

repeated threats to or disregard for the health, 

safety and welfare of clients. 

(b) Upon denial or revocation of accreditation for a service, 

DMH/DD/SAS shall take appropriate steps to withhold funds for 

the service pending re-accreditation as set forth in the 

DMH/DD/SAS accounting rules 10A NCAC 27A .0100 and 

.0200. 


191(d). 

10A NCAC 27G .0705 INTERIM ACCREDITATION 

FOR NEW SERVICES 

(a) An area program desiring to offer a new service may receive 

interim accreditation and start-up or interim funding according 

to the following procedures: 


739


(1) The area program shall notify DMH/DD/SAS 

in advance of the new service and its 

anticipated date of commencement, and shall 

provide such additional information related to 

compliance with the accreditation standards 

set forth in these Rules as DMH/DD/SAS may 

request. 

(2) In its notification, the area program shall offer 

assurances that the service shall comply with 

applicable standards for accreditation. 

(b) Upon receipt of notification, DMH/DD/SAS shall deem the 

new service to have received interim accreditation effective as of 

the anticipated date of commencement. Unless revoked pursuant 

to Rule .0604 of this Section, interim accreditation shall remain 

in effect until completion of an on-site review of the new service 

by DMH/DD/SAS. 

(c) After the on-site review, DMH/DD/SAS may accredit the 

new service pursuant to Rule .0603 of this Section for a 

specified period of time, but not beyond the expiration of the 

area program accreditation, or it may deny accreditation 

pursuant to Rule .0604 of this Section. 


191(d). 

10A NCAC 27G .0706 RECIPROCITY 

(a) By agreement between area programs, one area program 

may place clients with another area program's accredited service 

to provide that service without obtaining its own accreditation to 

provide that service. 

(b) Nothing herein shall be deemed to relieve any area program 

of its responsibility to monitor contract service providers 

pursuant to G.S. 122C-141 and 122C-142. 


191(d). 

10A NCAC 27G .0707 PURCHASE OF SERVICE AND 

CAPITATION CONTRACTS 

(a) In the case of services provided pursuant to purchase of 

service or capitation contracts with individuals or groups of 

individuals licensed under other provisions of state law and who 

are not facilities requiring licensing under these Rules or G.S. 

122C, area programs may exempt the contract providers from 

complying with the requirements of Section .0200 of these 

Rules, except for Rules .0203, .0204, .0207, and .0208 of this 

Subchapter. 

(b) For purposes of this Rule, "capitation contract" means a 

contract in which the provider is paid a specified flat rate per 

enrollee to meet clients' service needs within the parameters of 

the contract. 

(c) For purposes of this Rule, "purchase of service contract" 

means a contract in which the provider is paid an agreed-upon 

rate for a specific service as the service is rendered. 


191(d). 

TITLE 12 – DEPARTMENT OF JUSTICE 


the Criminal Justice Education and Training Standards 

Commission intends to amend the rules cited as 12 NCAC 09A 

.0107, .0204; 09B .0111, .0202, .0205, .0304, .0502; 09C .0306, 

.0310; 09E .0102, .0105; 09G .0102, .0205-.0206, .0504. 

Proposed Effective Date: February 1, 2009 


Date: November 20, 2008 

Time: 1:00 p.m. 

Location: Department of Correction, Office of Staff 

Development and Training, 2211 Schieffelin Road, Apex, NC 

Reason for Proposed Action: 

12 NCAC 09A .0107 – Changes the time in which an applicant 

for certification, or certified officer, may request a contested 

case hearing from the date of receipt of a notice of proposed 

action by the Commission from 60 days to 30 days, in 

accordance with G.S. 17C-11(b). 

12 NCAC 09A .0204 – Updated to include the following as a 

basis for suspension, revocation, or denial of law enforcement 

certification: Refusals to submit to in-service drug screens 

through an officer's certifying agency; denial, suspension, or 

revocation of certification by other state or federal agencies 

whose function is the same or similar to CJ Standards, Sheriffs' 

Standards or the NC Company/Campus Police Program; 

convictions under the Lautenberg Amendment which would 

permanently prohibit possession of firearms or ammunition. 

12 NCAC 09B .0111 – Updated to include convictions under the 

Lautenberg Amendment as a valid reason to prohibit 

certification of law enforcement officers under minimum 

standards. 

12 NCAC 09B .0202 – Removed the first reference to the 

number of hours in General Instructor school as that 

requirement is spelled out later in the rule. Added requirement 

that school directors must notify all Basic Law Enforcement 

Training instructors that they must comply with the instructions 

in the Course Management Guide. Added requirements that any 

instructor teaching in any criminal justice class must be 

currently certified as an instructor by the Commission. 

Removed the following statement as it is in internal policy and 

not a rule issue: "The Director of the Standards Division shall 

review the submitted Pre-Delivery Report together with all 

attachments and notify the School Director of any apparent 

deficiency." 

12 NCAC 09B .0205 – Reduced the hours of the First Responder 

block of instruction from 40 to 32, increased the hours of the 

Patrol Techniques block of instruction from 20 to 26, and 

increased the hours of the Juvenile Laws & Procedures block of 

instruction from 8 to 10. Total hours for the Basic Law 

Enforcement Training course remain 618. 

12 NCAC 09B .0304 – Revised one of the requirements to 

become a First Responder Specialized Instructor. Currently, 

First Responder instructors are required to have a current 


740


Emergency Medical Technician certification. This has been 

changed to a current or previous EMT certification. 

12 NCAC 09B .0502 – Added a statement that school directors 

must comply with the current Course Management Guide and 

with the current Basic Law Enforcement Training Instructor 

Notebook. 

12 NCAC 09C .0306 – Clarified that an officer must have 

General Certification with the Criminal Justice Commission or 

the Sheriffs' Standards Commission in order to be eligible for a 

lateral transfer to another agency. 

12 NCAC 09C .0310 – Added a requirement that positive results 

form a drug screen, or an officer's refusal to take a drug screen, 

must be reported in writing to the Standards Division within 

thirty days of the positive result or the refusal. 

12 NCAC 09E .0102, .0105 – The Commission has changed the 

required topics for annual In-Service training for law 

enforcement officers. The following topics have been removed: 

Career Survival: Truth or Consequences; Juvenile Minority 

Sensitivity Training: Effects of Juvenile Bullying; and Response 

to Critical Incidents. The following topics have been added: 

Career Survival: Training and Standards Issues; Juvenile 

Minority Sensitivity Training: Juvenile Law – In the Real World; 

Domestic Violence; and Drug Diversion for Patrol Officers. 

12 NCAC 09G .0102 – Minor wording changes to the list 

misdemeanors. Added, as disqualifier to certification, any 

convictions under the Lautenberg Act, since those convictions 

permanently prohibit a person form possessing a firearm or 

ammunition. 

12 NCAC 09G .0205 – Clarified the requirement that the 

physical examination required of an applicant for a correction 

officer probation/parole officer, or probation/parole – 

intermediate position with the Department of Correction must be 

conducted within one year of the date of hire. 

12 NCAC 09G .0206 – Deleted the requirement that an 

applicant not have any felony convictions within the ten year 

period prior to hire and replaced with the requirement that an 

applicant, or current employee, can not have been convicted of 

an offense which would prohibit the possession of firearms and 

ammunition. Added statement that a refusal to take, or positive 

result from, an in-service drug screen can be used as lack of 

good moral character. 

12 NCAC 09G .0504 – Added statement that a refusal to take, or 

a positive result from, an in-service drug screen can be used as 

grounds to suspend, revoke, or deny certification. Added 

statement that if certification had been denied, suspended, or 

revoked by the Criminal Justice Commission, Sheriffs' 

Commission, or a similar North Carolina, out-of-state, or 

federal approving, certifying, or licensing agency whose 

function is the same or similar to the Criminal Justice 

Commission, that can be used as a basis for denial, suspension, 

or revocation under Criminal Justice Standards. 


proposed rule: The objection, reasons for the objection, and 

the clearly indentified portion of the rule to which the objection 

pertains, must be submitted in writing to Teresa Marrella, 

Department of Justice, Criminal Justice Standards Division, 114 

West Edenton Street, Raleigh, NC 27602. 

Comments may be submitted to: Teresa Marrella, 

Department of Justice, Criminal Justice Standards Division, 114 

West Edenton Street, Raleigh, NC 27602, phone (919)716-6470, 

fax (919)716-6752, email tmarrella@ncdoj.gov. 

















Fiscal Impact: A copy of the fiscal note can be obtained from 

the agency. 

State 

Local 


None 

CHAPTER 09 - CRIMINAL JUSTICE EDUCATION AND 

TRAINING STANDARDS 

SUBCHAPTER 09A - CRIMINAL JUSTICE EDUCATION 

AND TRAINING STANDARDS COMMISSION 

SECTION .0100 - COMMISSION ORGANIZATION AND 

PROCEDURES 

12 NCAC 09A .0107 RULE-MAKING AND 

ADMINISTRATIVE HEARING PROCEDURES 

(a) In addition to the procedures set out in G.S. 150B-20, 

Petitions for Rule-Making shall be submitted to the Commission 

and shall contain: 

(1) petitioner's name, address and telephone 

number; 

(2) a draft of the proposed rule or rule change; 

(3) the reason for its proposal; 

(4) the effect of the proposal on existing rules or 

decisions; 

(5) data supporting the proposal; 

(6) practices likely to be affected by the proposal; 

and 

(7) a list or description of persons likely to be 

affected by the proposed rule. 

(b) Administrative hearings in contested cases conducted by the 

Commission or an Administrative Law Judge (as authorized in 

G.S. 150B-40) shall be governed by: 

(1) procedures set out in Article 3A of G.S. 150B; 


741


(2) insofar as relevant, the Rules of Civil 

Procedure as contained in G.S. 1A-1; 

(3) insofar as relevant, the General Rules of 

Practice for the Superior and District Courts as 

authorized by G.S. 7A-34 and found in the 

Rules Volume of the North Carolina General 

Statutes. 

(c) The rules establishing procedures for contested cases 

adopted by the Office of Administrative Hearings as contained 

in Title 26, Chapter 3 of the North Carolina Administrative Code 

are hereby adopted by reference for contested cases for which 

this agency has authority to adopt rules under G.S. 150B-38(h). 

All such adoptions by reference shall automatically include any 

later amendments and editions of the incorporated material as 

provided by G.S. 150B-21.6. 

(d) Provided, however, that if the case is conducted under G.S. 

150B-40(b), the presiding officer shall have the powers and 

duties given to the Chief Administrative Law Judge or the 

presiding Administrative Law Judge in Title 26, Chapter 3 of the 

North Carolina Administrative Code. Code and that 26 NCAC 3 

.0001(2); .0002(a)(1); and .0003(b) shall not apply. 

(e) An applicant for certification or a certified officer shall have 

60 30 days from the date of receipt of a notice of proposed 

action by the Commission to request a contested case hearing. 

Authority G.S. 17C-6; 150B-20; 150B-21.6; 150B-38(h); 150B- 

40. 

SECTION .0200 - ENFORCEMENT OF RULES 

12 NCAC 09A .0204 SUSPENSION: REVOCATION: 

OR DENIAL OF CERTIFICATION 

(a) The Commission shall revoke the certification of a criminal 

justice officer when the Commission finds that the officer has 

committed or been convicted of: 

(1) a felony offense; or 

(2) a criminal offense for which the authorized 

punishment included imprisonment for more 

than two years. 

(b) The Commission may suspend, revoke, or deny the 

certification of a criminal justice officer when the Commission 

finds that the applicant for certification or the certified officer: 

(1) has not enrolled in and satisfactorily 

completed the required basic training course in 

its entirety within prescribed time periods 

relevant or applicable to a specified position or 

job title; 

(2) fails to meet or maintain one or more of the 

minimum employment standards required by 

12 NCAC 09B .0100 for the category of the 

officer's certification or fails to meet or 

maintain one or more of the minimum training 

standards required by 12 NCAC 09B .0200 or 

12 NCAC 09B .0400 for the category of the 

officer's certification; 

(3) has committed or been convicted of: 

(A) a criminal offense or unlawful act 

defined in 12 NCAC 09A .0103 as a 

Class B misdemeanor; or 

(B) four or more criminal offenses or 

unlawful acts defined in 12 NCAC 

09A .0103 as a Class A misdemeanor, 

each of which occurred after the date 

of initial certification; 

(4) has been discharged by a criminal justice 

agency for commission or conviction of: 

(A) a motor vehicle offense requiring the 

revocation of the officer's driver's 

license; or 

(B) 

any other offense involving moral 

turpitude; 

(5) has been discharged by a criminal justice 

agency because the officer lacks the mental or 

physical capabilities to properly fulfill the 

responsibilities of a criminal justice officer; 

(6) has knowingly made a material 

misrepresentation of any information required 

for certification or accreditation; 

(7) has knowingly and willfully, by any means of 

false pretense, deception, defraudation, 

misrepresentation or cheating whatsoever, 

obtained or attempted to obtain credit, training 

or certification from the Commission; 


false pretense, deception, defraudation, 


aided another person in obtaining or 

attempting to obtain credit, training or 

certification from the Commission; 

(9) has failed to make either of the notifications as 

required by 12 NCAC 09B .0101(8); 

(10) has been removed from office by decree of the 

Superior Court in accord with the provisions 

of G.S. 128-16 or has been removed from 

office by sentence of the court in accord with 

the provisions of G.S. 14-230; 

(11) fails to satisfactorily complete the minimum 

in-service training requirements as prescribed 

in 12 NCAC 09E; 

(12) has refused to submit to an applicant or lateral 

transferee drug screen as required by these 

Rules; Rules, or has refused to submit to an inservice 

drug screen pursuant to the guidelines 

set forth in the Drug Screening 

Implementation Guide as required by the 

agency through which the officer is certified; 

(13) has produced a positive result on a drug screen 

reported to the Commission as specified in 12 

NCAC 09C .0310, where the positive result 

cannot be explained to the Commission's 

satisfaction; 

(14) has been denied certification or had such 

justice officer certification suspended or 

revoked by the North Carolina Sheriffs' 

Education and Training Standards 

Commission; Commission, the North Carolina 

Criminal Justice Education and Training 

Standards Commission; the North Carolina 


742


Company/Campus Police Program; or a 

similar North Carolina, out of state or federal 

approving, certifying or licensing agency; or 

(15) has performed activities or duties for which 

certification by the Commission is required 

without having first obtained the appropriate 

certification. certification; or 

(16) has been convicted of any offense proscribed 

by 18 USC 922(g)(8) that would prohibit 

possession of a firearm or ammunition. 

(c) Following suspension, revocation, or denial of the person's 

certification, the person may not remain employed or appointed 

as a criminal justice officer and the person may not exercise any 

authority of a criminal justice officer during a period for which 

the person's certification is suspended, revoked, or denied. 

Authority G.S. 17C-6; 17C-10. 

SUBCHAPTER 09B - STANDARDS FOR CRIMINAL 

JUSTICE EMPLOYMENT: EDUCATION: AND 

TRAINING 

SECTION .0100 - MINIMUM STANDARDS FOR 

CRIMINAL JUSTICE EMPLOYMENT 

12 NCAC 09B .0111 MINIMUM STANDARDS FOR 

LAW ENFORCEMENT OFFICERS 

In addition to the requirements for criminal justice officers 

contained in Rule .0101 of this Section, every law enforcement 

officer employed by an agency in North Carolina shall: 

(1) not have committed or been convicted of: 

(a) 

(b) 

(c) 

(d) 

(e) 

a felony; or 

a crime for which the punishment 

could have been imprisonment for 

more than two years; or 

a crime or unlawful act defined as a 

"Class B misdemeanor" within the 

five year period prior to the date of 

application for employment; or 

four or more crimes or unlawful acts 

defined as "Class B misdemeanors" 

regardless of the date of conviction; 

or 

four or more crimes or unlawful acts 

defined as "Class A misdemeanors" 

except the applicant may be 

employed if the last conviction 

occurred more than two years prior to 

the date of application for 

employment; 

(f) an offense that, proscribed by 18 

USC 922(g)(8), would prohibit the 

possession of a firearm and/or 

ammunition; 

(2) be a high school graduate or have passed the 

General Educational Development Test 

indicating high school equivalency; and 

(3) satisfactorily complete the employing agency's 

in-service firearms training program as 

prescribed in 12 NCAC 9E .0105 - .0106. 

Such firearms training compliance must have 

occurred prior to submission of the application 

for appointment to the Commission and must 

be completed using the department-approved 

service handgun(s) and any other weapon(s) 

that the applicant has been issued or 

authorized to use by the agency. 

Note: Although not presently required by these Rules, the 

Commission recommends that, on the date of employment or 

within 24 months thereafter, every candidate for employment as 

a law enforcement officer have completed no less than six 

semester units or nine quarter units of educational credit at an 

accredited institution of higher education. 


SECTION .0200 – MINIMUM STANDARDS FOR 

CRIMINAL JUSTICE SCHOOLS AND CRIMINAL 

JUSTICE TRAINING PROGRAMS OR COURSES OF 

INSTRUCTION 

12 NCAC 09B .0202 RESPONSIBILITIES OF THE 

SCHOOL DIRECTOR 

(a) In planning, developing, coordinating, and delivering each 

Commission-certified criminal justice training course, the 

School Director shall: 

(1) Formalize and schedule the course curriculum 

in accordance with the curriculum standards 

established in this Subchapter. The "Criminal 

Justice Instructor Training Course" shall be 

presented with 40 hours of instruction each 

week during consecutive calendar weeks until 

course requirements are completed; 

(2) Select and schedule instructors who are 

currently certified by the Commission; 

(3) Provide each instructor with a current 

Commission course outline and all necessary 

additional information concerning the 

instructor's duties and responsibilities; 

(4) Notify each instructor that they must comply 

with the Basic Law Enforcement Course 

Management Guide and provide them access 

to the most current version of the Course 

Management Guide; 

(4)(5) Review each instructor's lesson plans and other 

instructional materials for conformance to 

Commission standards and to minimize 

repetition and duplication of subject matter; 

(5)(6) Arrange for the timely availability of 

appropriate audiovisual aids and materials, 

publications, facilities, and equipment for 

training in all topic areas; 

(6)(7) Develop, adopt, reproduce, and distribute any 

supplemental rules, regulations, and 

requirements determined by the school to be 

necessary or appropriate for: 

(A) effective course delivery; 


743


(B) establishing responsibilities and 

obligations of agencies or 

departments employing or sponsoring 

course trainees; and 

(C) 

regulating trainee participation and 

demeanor and ensuring trainee 

attendance and maintaining 

performance records. 

(7)(8) If appropriate, recommend housing and dining 

facilities for trainees; 

(8)(9) Administer the course delivery in accordance 

with Commission procedures and standards, 

give consideration to advisory guidelines 

issued by the Commission, and ensure that the 

training offered is safe and effective; 

(9)(10) Maintain direct supervision, direction, and 

control over the performance of all persons to 

whom any portion of the planning, 

development, presentation, or administration 

of a course has been delegated; and 

(10)(11) Report the completion of each presentation of 

a Commission-certified criminal justice 

training course to the Commission. 

(b) In addition to Paragraph (a) of this Rule, in planning 

developing, coordinating and delivering each Commissioncertified 

Basic Law Enforcement Training Course, the School 

Director shall: 

(1) Deliver training in accordance with the most 

current version of the Basic Law Enforcement 

Training Course Management Guide as 

published by the North Carolina Justice 

Academy; 

(1)(2) Schedule course presentation to include 12 

hours of instruction each week during 

consecutive calendar weeks except that there 

may be as many as three one-week breaks until 

course requirements are completed; and 

(2)(3) Schedule only those instructors currently 

certified by the Commission to teach those 

high liability areas as specified in 12 NCAC 

09B .0304(a) as either the lead instructor or in 

any other capacity; and 

(3)(4) With the exception of the First Responder, 

Physical Fitness, Electrical and Hazardous 

Materials, and topical areas as outlined in 12 

NCAC 09B .0304(a) of this Subchapter, 

schedule one specialized certified instructor 

currently certified by the Commission for each 

six trainees while actively engaged in a 

practical performance exercise; and 

(4)(5) Schedule one specialized certified instructor 

currently certified by the Commission for each 

eight trainees while actively engaged in a 

practical performance exercise in the topical 

area "Subject Control Arrest Techniques;" and 

(5)(6) Not schedule any single individual to instruct 

more than 35 percent of the total hours of the 

curriculum during any one delivery of the 

Basic Law Enforcement Training Course 

presentation; and 

(6)(7) Not less than 15 days before commencing 

delivery of the Basic Law Enforcement 

Training Course, submit to the Commission a 

Pre-Delivery Report of Training Course 

Presentation as set out in 12 NCAC 09C .0211 

along with the following attachments: 

(A) a course schedule showing 

arrangement of topical presentations 

and proposed instructional 

assignments. 

(B) 

a copy of any rules, regulations, and 

requirements for the school. A copy 

of such rules shall also be given to 

each trainee and to the executive 

officer of each trainee's employing or 

sponsoring agency or department at 

the time the trainee enrolls in the 

course. 

The Director of the Standards Division shall 

review the submitted Pre-Delivery Report 

together with all attachments and notify the 

School Director of any apparent deficiency. 

(7)(8) Monitor, or designate a certified an instructor 

currently certified by the Commission to 

monitor, the presentations of all instructors 

once during each three year certification 

period in each topic taught by the instructor 

and prepare written evaluations on their 

performance and suitability for subsequent 

instructional assignments. The observations 

shall be of sufficient duration to ensure the 

instructor is using the Instructional System 

Design model, and that the delivery is 

objective based, documented by and consistent 

with a Commission-approved lesson plan. For 

each topic area, the School Director’s 

evaluation shall be based upon the course 

delivery observations, the instructor’s use of 

the approved lesson plan, and the results of the 

student evaluation of the instructor. For 

probationary instructors, these evaluations 

shall be prepared on Commission forms and 

forwarded to the Commission. Based on this 

evaluation, the School Director shall 

recommend approval or denial of requests for 

General Instructor Certification. For all other 

instructors, these evaluations shall be prepared 

on Commission forms in accordance with 

Commission standards as set out in this 

Chapter. These evaluations shall be kept on 

file by the school for a period of three years 

and shall be made available for inspection by a 

representative of the Commission upon 

request. In the event the evaluation of an 

instructor indicates that his or her performance 

was less than acceptable, the School Director 

shall forward a copy of the evaluation to the 


744


Commission. Any designated certified 

instructor currently certified by the 

Commission who is evaluating the 

instructional presentation of another instructor 

shall hold certification in the same 

instructional topic area as that for which the 

instructor is being evaluated. 

(8)(9) Administer or designate a staff person to 

administer appropriate tests as determined 

necessary at various intervals during course 

delivery: 

(A) to determine and record the level of 

trainee comprehension and retention 

of instructional subject- matter; 

(B) to provide a basis for a final 

determination or recommendation 

regarding the minimum degree of 

knowledge and skill of each trainee to 

function as an inexperienced law 

enforcement officer; and 

(C) 

to determine subject or topic areas of 

deficiency for the application of 12 

NCAC 09B .0405(a)(3); and 

(9)(10) During a delivery of Basic Law Enforcement 

Training, make available to the Commission 

four hours of scheduled class time and 

classroom facilities for the administration of a 

written examination to those trainees who have 

satisfactorily completed all course work. 

(10)(11) Not more than 10 days after receiving from the 

Commission's representative the Report of 

Examination Scores, submit to the 

Commission a Post-Delivery Report of 

Training Course Presentation (Form F-10B) 

which shall include: 

(A) 

(B) 

a "Student Course Completion" form 

for each individual enrolled on the 

day of orientation. 

a "Certification and Test Score 

Release" form. 

(c) In addition to Paragraph (a) of this Rule, in planning, 


"Criminal Justice Instructor Training Course" the 

School Director shall: 

(1) Schedule course presentation to include 40 

hours of instruction each week during 

consecutive calendar weeks until course 

requirements are completed; 

(2) Schedule at least one evaluator for each six 

trainees: 

(A) no evaluator shall be assigned more 

than six trainees during a course 

delivery. 

(B) 

each evaluator, as well as the 

instructors, must have successfully 

completed a Commission-certified 

instructor training course or an 

equivalent instructor training course 

utilizing the Instructional Systems 

(C) 

Design model, an international model 

with applications in education, 

military training, and private 

enterprise; and 

each instructor and evaluator must 

document successful participation in 

a program presented by the Justice 

Academy for purposes of 

familiarization and supplementation 

relevant to delivery of the instructor 

training course and trainee evaluation. 

(3) Not less than 30 days before commencing 

delivery of the course, submit to the 

Commission a Pre-Delivery Report of 

Training Course Presentation [Form F- 

10A(ITC)] with the following attachments: 

(A) a course schedule showing 

arrangement of topical presentations 

and proposed instructional 

assignments; 

(B) the names and social security 

numbers of all instructors and 

evaluators; and 

(C) 

a copy of any rules, regulations, and 

requirements for the school. 

The Director of the Standards Division shall 

review the submitted Pre-Delivery Report 

together with all attachments and notify the 

School Director of any apparent deficiency. 

(4) Not more than 10 days after course completion 

the School Director shall submit to the 

Commission a Post-Delivery Report [Form F- 

10B(ITC)] containing the following: 

(A) 

(B) 

(C) 

class enrollment roster; 

a course schedule with designation of 

instructors and evaluators utilized in 

delivery; 

scores recorded for each trainee on 

both the 80 minute skill presentation 

and the final written examination; and 

(D) designation of trainees who 

successfully completed the course in 

its entirety and whom the School 

Director finds to be competent to 

instruct. 

(d) In addition to Paragraph (a) of this Rule, in planning, 


radar, radar and time-distance, time-distance, or lidar 

speed measurement operator training course or re-certification 

course, the School Director shall: 

(1) select and schedule radar, time-distance, or 

lidar speed measurement instrument 

instructors who are currently certified by the 

Commission as instructors for the specific 

speed measurement instruments in which the 

trainees are to receive instruction. The 

following requirements apply to operator 

certification training: 


745


(A) provide to the instructor the 

Commission form(s) for motor-skill 

examination on each trainee; 

(B) require the instructor to complete the 

motor-skill examination form on each 

trainee indicating the level of 

proficiency obtained on each specific 

(C) 

instrument; and 

require each instructor to sign each 

individual form and submit the 

original to the School Director. 

(2) not less than 30 days before the scheduled 

starting date submit to the Director of the 

Standards Division a Request for Training 

Course Presentation: 

(A) 

(B) 

the request shall contain a period of 

course delivery including the 

proposed starting date, course 

location and the number of trainees to 

be trained in each type of approved 

speed-measurement-instrument; and 

the Director of the Standards Division 

shall review the request and notify the 

School Director of the accepted 

delivery period unless a conflict 

exists with previously scheduled 

programs. 

(3) during the delivery of the training course, 

make available to the Commission two hours 

of scheduled class time and classroom 

facilities for the administration of a written 

examination to the trainee; and 

(4) upon completing delivery of the Commissioncertified 

course, and not more than 10 days 

after receiving from the Commission's 

representative the Report of Examination 

Scores, the School Director shall notify the 

Commission regarding the progress and 

achievements of each trainee by submitting a 

Post-Delivery Report of Training Course 

Presentation. This report shall include the 

original motor-skill examination form(s) 

completed and signed by the certified 

instructor responsible for administering the 

motor-skill examination to the respective 

trainee. 

Authority G.S. 17C-6. 

12 NCAC 09B .0205 BASIC LAW ENFORCEMENT 

TRAINING 

(a) The basic training course for law enforcement officers 

consists of instruction designed to provide the trainee with the 

skills and knowledge to perform those tasks essential to function 

in law enforcement. 

(b) The course entitled "Basic Law Enforcement Training" shall 

consist of a minimum of 618 hours of instruction and shall 

include the following identified topical areas and minimum 

instructional hours for each: 

(1) LEGAL UNIT 

(A) Motor Vehicle Laws 20 Hours 

(B) Preparing for Court and Testifying in 

Court 

12 Hours 

(C) Elements of Criminal Law 

24 Hours 

(D) Juvenile Laws and Procedures 

810 Hours 

(E) Arrest, Search and 

Seizure/Constitutional Law 28 Hours 

(F) ABC Laws and Procedures 4 Hours 

UNIT TOTAL 

96 Hours 

(2) PATROL DUTIES UNIT 

(A) Techniques of Traffic Law 

Enforcement 

24 Hours 

(B) Explosives and Hazardous Materials 

Emergencies 

12 Hours 

(C) Traffic Crash Investigation 

20 Hours 

(D) In-Custody Transportation 

8 Hours 

(E) Crowd Management 12 Hours 

(F) Patrol Techniques 2026 

Hours 

(G) Law Enforcement Communication 

and Information Systems 8 Hours 

(H) Anti-Terrorism 4 Hours 

(I) Rapid Deployment 8 Hours 

UNIT TOTAL 

116 Hours 

(3) LAW ENFORCEMENT COMMUNICATION 

UNIT 

(A) Dealing with Victims and the Public 

10 Hours 

(B) Domestic Violence Response 

12 Hours 

(C) Ethics for Professional Law 

Enforcement 

4 Hours 

(D) Individuals with Mental Illness and 

Mental Retardation 8 Hours 

(E) Crime Prevention Techniques 

6 Hours 

(F) Communication Skills for Law 

Enforcement Officers 8 Hours 

UNIT TOTAL 

48 Hours 

(4) INVESTIGATION UNIT 

(A) Fingerprinting and Photographing 

Arrestee 

6 Hours 

(B) Field Note-taking and Report Writing 

12 Hours 

(C) Criminal Investigation 34 Hours 

(D) Interviews: Field and In-Custody 

16 Hours 

(E) Controlled Substances 12 Hours 

UNIT TOTAL 

80 Hours 

(5) PRACTICAL APPLICATION UNIT 

(A) First Responder 4032 

Hours 

(B) Firearms 48 Hours 


746


(C) Law Enforcement Driver Training 

40 Hours 

(D) Physical Fitness 8 Hours 

(i) Fitness Assessment and 

Testing 12 Hours 

(ii) 1 hour - 3 days a week 

34 Hours 

(E) Subject Control Arrest Techniques 

40 Hours 

UNIT TOTAL 

222 Hours 

(6) SHERIFF-SPECIFIC UNIT 

(A) Civil Process 24 Hours 

(B) Sheriffs' Responsibilities: Detention 

Duties 

4 Hours 

(C) Sheriffs' Responsibilities: Court 

Duties 

6 Hours 

UNIT TOTAL 

34 Hours 

(7) COURSE ORIENTATION 2 Hours 

(8) TESTING 20 Hours 

TOTAL COURSE HOURS 618 Hours 

(c) The "Basic Law Enforcement Training Manual" as 

published by the North Carolina Justice Academy shall be used 

as the basic curriculum for this basic training course for law 

enforcement officers as administered by the Commission. 

Copies of this publication may be inspected at the office of the 

agency: 

Criminal Justice Standards Division 

North Carolina Department of Justice 

114 West Edenton Street 

Old Education Building 

Post Office Drawer 149 


and may be obtained from the Academy at the following 

address: 

North Carolina Justice Academy 


Salemburg, North Carolina 28385 

(d) The "Basic Law Enforcement Training Course Management 

Guide" as published by the North Carolina Justice Academy 

shall be used by School Directors in planning, implementing and 

delivering basic training courses. Each School Director shall be 

issued a copy of the guide at the time of certification at no cost 

to the certified school. The public may obtain copies of this 

guide from the Justice Academy. 



CRIMINAL JUSTICE INSTRUCTORS 

12 NCAC 09B .0304 SPECIALIZED INSTRUCTOR 

CERTIFICATION 

(a) The Commission may issue a Specialized Instructor 

Certification to an applicant who has developed specific 

motor-skills and abilities by virtue of special training and 

demonstrated experience in one or more of the following topical 

areas: 

(1) Subject Control Arrest Techniques 

(2) First Responder 

(3) Firearms 

(4) Law Enforcement Driver Training 

(5) Physical Fitness 

(6) Restraint, Control and Defense Techniques 

(DJJDP) 

(7) Medical Emergencies (DJJDP) 

Explosive and Hazardous Materials Emergencies 

(b) To qualify for and maintain any Specialized Instructor 

Certification, an applicant must possess a valid CPR 

Certification that included cognitive and skills testing, through 

an organization whose curriculum meets the national standards 

set forth by the International Guidelines Conference on 

Cardiopulmonary Resuscitation and Emergency Cardiovascular 

Care. 

(c) To qualify for Specialized Instructor Certification in the 

Subject Control Arrest Techniques topical area, an applicant 

must meet the following requirements: 

(1) hold General Instructor Certification, either 

probationary status or full general instructor 

status, as specified in Rule .0303 of this 

Section; and 

(2) successfully complete the pertinent 

Commission-approved specialized instructor 

training course; and 

(3) obtain the recommendation of a Commissioncertified 

school director or in-service training 

coordinator. 

(d) To qualify for Specialized Instructor Certification in the 

First Responder topical area, an applicant must satisfy one of the 

following two options: 

(1) The first option is: 

(A) hold current CPR instructor 

certification through an organization 

whose curriculum meets the national 

standard; and 

(B) 

hold current current, or have held, 

basic Emergency Medical Technician 

certification; and 

(C) have successfully completed the 

Department of Transportation's 40 

hour EMT Instructor Course or 

equivalent within the last three years 

or hold a current North Carolina 

teaching certificate; and 

(D) 

(2) The second option is: 

(A) 

obtain the recommendation of a 

Commission-certified school director 

or in-service training coordinator. 

hold General Instructor Certification, 

either probationary status or full 

general instructor status, as specified 

in Rule .0303 of this Section; and 

(B) hold current CPR instructor 

certification through an organization 


747


whose curriculum meets the national 

standard; and 

(C) hold current current, or have held, 

basic EMT certification; and 

(D) obtain the recommendation of a 



(e) To qualify for Specialized Instructor Certification in the 

Firearms topical area, an applicant must meet the following 

requirements: 




Section; and 






coordinator. 

(f) To qualify for Specialized Instructor Certification in the Law 

Enforcement Driver Training topical area, an applicant must 

meet the following requirements: 




Section; and 






coordinator. 

(g) To qualify for Specialized Instructor Certification in the 

Physical Fitness topical area, an applicant shall become certified 

through one of the following two methods: 

(1) The first method is: 

(A) 

hold General Instructor Certification, 



in Rule .0303 of this Section; and 

(B) successfully complete the pertinent 

Commission-approved specialized 

instructor training course; and 

(C) obtain the recommendation of a 

Commission-certified School 

Director. 

(2) The second method is: 

(A) successfully complete the pertinent 

Commission-approved specialized 

instructor training course; and 

(B) obtain the recommendation of a 

Commission-certified School director 

or in-service training coordinator; and 

(C) meet one of the following 

qualifications: 

(i) 

hold a current and valid 

North Carolina Teacher's 

Certificate and hold a 

minimum of a baccalaureate 

degree in physical education 

and be actively teaching in 

physical education topics; or 

(ii) be presently instructing 

physical education topics in 

a community college, 

college or university and 

hold a minimum of a 

baccalaureate degree in 

physical education. 

(h) To qualify for Specialized Instructor Certification in the 

Department of Juvenile Justice and Delinquency Prevention 

Restraint, Control and Defense Techniques topical area, an 

applicant must meet the following requirements: 




Section; and 





school director. 

(i) To qualify for Specialized Instructor Certification in the 

Department of Juvenile Justice and Delinquency Prevention 

Medical Emergencies topical area, an applicant must meet the 

following requirements: 

(1) have successfully completed a Commissioncertified 

basic instructor training course or an 

equivalent instructor training course utilizing 

the Instructional Systems Design model, an 

international model with applications in 

education, military training, and private 

enterprise, within the 12 month period 

preceding application; and 

(2) hold current instructor certification in CPR and 

First Aid by fulfillment of the American Red 

Cross Instructor requirements; and 


school director. 

(j) To qualify for Specialized Instructor Certification in the 

Explosive and Hazardous Materials Emergencies topical area, an 

applicant must satisfy one of the following two options: 

(1) The first option is: 

(A) hold current instructor certification as 

a First Responder Awareness Level 

Hazardous Materials instructor; and 

(B) have successfully completed the Fire 

Service Instructor Methodology 

Course or the equivalent utilizing the 

Instructional Systems Design model, 

an international model with 

applications in education, military 

training, and private enterprise; and 




(2) The second option is: 


748



(A) hold General Instructor Certification, 



in 12 NCAC 09B .0303 of this 

Section; and 

(B) have successfully completed the 

Awareness/Operations Level 

Hazardous Materials Course 

developed by the North Carolina 

Department of Insurance, Office of 

the State Fire Marshal; and 





CRIMINAL JUSTICE SCHOOL DIRECTORS 

12 NCAC 09B .0502 TERMS AND CONDITIONS OF 

SCHOOL DIRECTOR CERTIFICATION 

(a) The term of certification as a school director is two years 

from the date the Commission issues the certification, unless 

earlier terminated by action of the Commission. Upon 

application the certification may subsequently be renewed by the 

Commission for two-year periods. The application for renewal 

shall contain documentation meeting the requirements of Rule 

.0501(b)(2) and (3) of this Section. 

(b) To retain certification as a school director, the school 

director shall: 

(1) Attend an annual school directors conference 

conducted by commission staff; and 

(2) Maintain an updated copy and comply with the 

current version of the "Basic Law 

Enforcement Training Course Management 

Guide"; and 

(3) Maintain two updated copies and ensure 

compliance with the current version of the 

"Basic Law Enforcement Training Instructor 

Notebook" assigned to each accredited school; 

and 

(4) Adequately perform the duties and 

responsibilities of a school director as 

specifically required in Rule .0202 of this 

Subchapter. 


SUBCHAPTER 09C - ADMINISTRATION OF CRIMINAL 

JUSTICE EDUCATION AND TRAINING STANDARDS 

SECTION .0600 - EQUIPMENT AND PROCEDURES 

12 NCAC 09C .0306 LATERAL TRANSFER OF LAW 

ENFORCEMENT OFFICERS 

(a) A law enforcement officer with general certification from 

either the Criminal Justice Education and Training Standards 

Commission or the Sheriffs’ Education and Training Standards 

Commission may transfer from one law enforcement agency to 

another law enforcement agency with less than a 12 month break 

in law enforcement service. Prior to employing the officer, the 

employing agency shall: 

(1) verify the certification of the officer with the 

Criminal Justice Standards Division or the 

Sheriffs’ Standards Division. 

(2) submit an up-to-date fingerprint check in the 

same manner as prescribed for non-certified 

new applicants. No certification will be 

transferred if the holder has been convicted 

since initial certification of any offense for 

which revocation or suspension of certification 

is authorized. 

(3) advise the officer that he will be serving under 

a probationary appointment with the agency 

for one year. 

(4) notify the Commission, by submitting a Report 

of Appointment, that the officer is being 

employed and stating the date on which 

employment will commence. 

(b) Prior to transfer of certification, the law enforcement officer 

shall: 

(1) complete a Medical History Statement Form 

within one year prior to the transfer to the 

employing agency; 

(2) submit to examination by a physician licensed 

to practice medicine in North Carolina in the 

same manner prescribed for non-certified new 

applicants in 12 NCAC 09B .0104 within one 

year prior to the transfer to the employing 

agency; 

(3) submit results of the physical examination to 

the employing agency for placement in the 

officer's permanent personnel file; 

(4) produce a negative result on a drug screen 

administered according to the specifications 

outlined in 12 NCAC 09B .0101(5); and 

(5) submit a copy of the Commission's annual 

in-service training report form to the 

employing agency for placement in the 

officer's permanent personnel file when the 

duty and off duty weapon(s) remain the same 

as those previously used to qualify. Such 

in-service training compliance must have 

occurred within the 12 month period preceding 

transfer; or 

(6) satisfactorily complete the employing agency's 

in-service firearms training program as 

prescribed in 12 NCAC 09E .0105 and .0106. 

(c) Officers previously certified who were not previously 

required to meet the educational or basic training requirements 

are not required to meet such requirements when laterally 

transferring to another agency with less than a 12-month break 

in law enforcement service. 



749


12 NCAC 09C .0310 AGENCY REPORTING OF 

DRUG SCREENING RESULTS 

(a) Each agency shall report in writing to the Criminal Justice 

Standards Division all refusals and all positive results of 

required drug screening obtained from applicants and lateral 

transfers unless the positive result has been explained to the 

satisfaction of the agency's medical review officer who shall be a 

licensed physician. 

(b) Each agency, if it conducts a drug screen for in-service 

officers, shall report in writing positive results or refusals to 

submit to an in-service drug screening to the Criminal Justice 

Standards Division within 30 days of the positive result or 

refusal unless the positive result has been explained to the 

satisfaction of the agency's medical review officer who shall be a 

licensed physician, to the extent the drug screen conducted 

conforms to the specifications of 12 NCAC 09B .0101(5)(a), (b), 

(c), (d), and (f). 

(c) For reporting purposes, a result will be considered "positive" 

only in those cases where the drug screen reveals the presence of 

an illegal drug at a level equal to or greater than the threshold 

value as established by the Department of Health and Human 

Services for Federal Workplace Drug Testing Programs and 

adopted by reference in Section 12 NCAC 09B .0101(5)(d) of 

these Rules. 

(d) All written reports required to be submitted to the Criminal 

Justice Standards Division by this Rule shall contain, at a 

minimum, the individual's name, social security number, date of 

birth and either the date the test was administered or the date of 

the refusal. 


SUBCHAPTER 09E - IN-SERVICE TRAINING 

PROGRAMS 

SECTION .0100 - LAW ENFORCEMENT OFFICER'S 

IN-SERVICE TRAINING PROGRAM 

12 NCAC 09E .0102 REQUIRED ANNUAL IN- 

SERVICE TRAINING TOPICS 

The following topical areas are hereby established as minimum 

topics and hours to be included in the law enforcement officers' 

annual in-service training program: 

(1) Firearms Training and Qualification (4); 

(2) Legal Update (4); 

(3) Career Survival: Truth or Consequences (2); 

Training and Standards Issues (2); 

(4) Juvenile Minority Sensitivity: Sensitivity 

Training: Effects of Juvenile Bullying (2); 

Juvenile Law – In the Real World (2); 

(5) Response to Critical Incidents (4); and 

Domestic Violence (2); 

(6) Drug Diversion for Patrol Officers (2); and 

(6)(7) Department Topics of Choice (8). 


12 NCAC 09E .0105 MINIMUM TRAINING 

SPECIFICATIONS: ANNUAL IN-SERVICE TRAINING 

The following specifications shall be incorporated in each law 

enforcement agency's annual in-service training courses: 

(1) Firearms: 

(a) Use of Force: review the authority to 

use deadly force [G.S. 15A- 

401(d)(2)] including the relevant case 

law and materials; 

(b) Safety: 

(i) range rules and regulations; 

(ii) handling of a firearm; and 

(iii) malfunctions; 

(c) Review of Basic Marksmanship 

(d) 

Fundamentals: 

(i) 

grip, stance, breath control 

and trigger squeeze; 

(ii) sight and alignment/sight 

picture; and 

(iii) nomenclature; and 

The "Specialized Firearms Instructor 

Training Manual" as published by the 

North Carolina Justice Academy shall 

be applied as a guide for conducting 

the annual in-service firearms training 

program. Copies of this publication 

may be inspected at the office of the 

agency: 






Raleigh, North Carolina 27602; 

(2) Legal Update (4); 

(3) Career Survival: Truth or Consequences (2); 

Training and Standards Issues (2); 

(4) Juvenile Minority Sensitivity: Sensitivity 

Training: Effects of Juvenile Bullying (2); 

Juvenile Law – In the Real World (2); 

(5) Response to Critical Incidents (4); and 

Domestic Violence (2); 

(6) Drug Diversion for Patrol Officers (2); and 

(6)(7) Department Topics of Choice (8). 

The In-Service Lesson Plans as published by the North 

Carolina Justice Academy shall be applied as a 

minimum curriculum for conducting the annual inservice 

training program. Copies of this publication 

may be inspected at the office of the agency: 







and may be obtained at cost from the Academy at the following 

address: 

North Carolina Justice Academy 



750



Salemburg, North Carolina 28385 

SUBCHAPTER 09G - STANDARDS FOR CORRECTIONS 

EMPLOYMENT, TRAINING, AND CERTIFICATION 

SECTION .0100 - SCOPE, APPLICABILITY, AND 

DEFINITIONS 

12 NCAC 09G .0102 DEFINITIONS 

The following definitions apply throughout this Subchapter only: 

(1) "Commission of an offense" means a finding 

by the North Carolina Criminal Justice 

Education and Training Standards 

Commission or an administrative body that a 

person performed the acts necessary to satisfy 

the elements of a specified offense. 

(2) "Convicted" or "Conviction" means and 

includes, for purposes of this Subchapter, the 

entry of: 

(a) 

(b) 

(c) 

a plea of guilty; 

a verdict or finding of guilt by a jury, 

judge, magistrate, or other duly 

constituted, established adjudicating 

body, tribunal, or official, either 

civilian or military; or 

a plea of no contest, nolo contendere, 

or the equivalent. 

(3) "Correctional Officer" means an employee of 

the North Carolina Department of Correction, 

Division of Prisons, responsible for the 

custody of inmates or offenders. 

(4) "Corrections Officer" means any or all of the 

three classes of officers employed by the 

North Carolina Department of Correction: 

correctional officer; probation/parole officer; 

and probation/parole officer-intermediate. 

(5) "Criminal Justice System" means the whole of 

the State and local criminal justice agencies 

including the North Carolina Department of 

Correction. 

(6) "Director" means the Director of the Criminal 

Justice Standards Division of the North 

Carolina Department of Justice. 

(7) "Educational Points" means points earned 

toward the State Correction Officers' 

Professional Certificate Program for studies 

satisfactorily completed for semester hour or 

quarter hour credit at a regionally accredited 

institution of higher education. Each semester 

hour of college credit equals one educational 

point and each quarter hour of college credit 

equals two-thirds of an educational point. 

(8) "High School" means graduation from a high 

school that meets the compulsory attendance 

requirements in the jurisdiction in which the 

school is located. 

(9) "Misdemeanor" for corrections officers means 

those criminal offenses not classified under the 

laws, statutes, or ordinances as felonies. 

Misdemeanor offenses for corrections officers 

are classified by the Commission as follows: 

(a) 14-2.5 Punishment for attempt 

(offenses that are Class A-1 

misdemeanor) 

(b) 14-27.7 Intercourse and sexual 

offenses with certain victims (If 

defendant is school personnel other 

than a teacher, school administrator, 

student teacher or coach) 

(c) 14-32.1(f) Assault on 

handicapped persons 

(d) 14-32.2(b)(4) Patient abuse and 

neglect, punishments 

(e) 14-32.3(c) Exploitation by 

caretaker of disabled/elder adult in 

domestic setting; resulting in loss of 

less than one thousand dollars ($l000) 

(August 1, 2001-December 1, 2005. 

Repealed December 1, 2005) 

(f) 14-33(b)(9) Assault, battery 

against sports official 

(g) 14-33(c) Assault, battery 

with circumstances 

(h) 14-34 Assault by pointing 

a gun 

(i) 14-34.6(a) Assault on 

Emergency Personnel 

(j) 14-54 Breaking or 

Entering into buildings generally (14- 

54(b)) 

(k) 14-72 Larceny of property; 

receiving stolen goods etc.; less than 

not more than one thousand dollars 

($1000.00) (14-72(a)) 

(l) 14-72.1 Concealment of 

merchandise (14-72.1(e); 3 rd or 

subsequent offense) 

(m) 14-76 Larceny, 

mutilation, or destruction of public 

records/papers 

(n) CH 14 Art. 19A False/fraudulent use 

(o) 

of credit device (14-113.6) 

CH 14 Art. 19B Financial 

transaction card crime (14-113.17(a)) 

(p) 14-114(a) Fraudulent disposal 

of personal property on which there is 

a security interest 

(q) 

(r) 

(s) 

(t) 

14-118 Blackmailing 

14-118.2 Obtaining academic credit 

by fraudulent means (14-118.2(b)) 

14-122.1 Falsifying documents issued 

by a school (14-122.1(c)) 

14-127 Willful and wanton injury to 

real property 


751


(u) 14-160 Willful and wanton injury to 

personal property greater than two 

hundred dollars ($200.00) (14- 

160(b)) 

(v) 14-190.5 Preparation of obscene 

photographs 

(w) 14-190.9 Indecent Exposure 

(x) 14-190.14 Displaying material 

harmful to minors (14-190.14(b)) 

(y) 14-190.15 Disseminating 

harmful material to minors (14- 

190.15(d)) 

(z) 

14-202.2 Indecent liberties between 

children 

(aa) 14-202.4 Taking indecent liberties 

with a student 

(bb) 14-204 Prostitution (14- 

207;14-208) 

(cc) 14-223 Resisting officers 

(dd) 14-225 False, etc., reports 

to law enforcement agencies or 

officers 

(ee) 14-230 Willfully failing to 

discharge duties 

(ff) 14-231 Failing to make 

reports and discharge other duties 

(gg) 14-232 Swearing falsely to 

official records 

(hh) 14-239 Allowing prisoners 

to escape punishment 

(ii) 14-255 Escape of working 

prisoners from custody 

(jj) 14-256 Prison breach and 

escape 

(kk) 14-258.1(b) Furnishing certain 

contraband to inmates 

(ll) 14-259 Harboring or aiding 

certain persons 

(mm) CH 14 Art. 34 Persuading inmates 

to escape; harboring fugitives (14- 

268) 

(nn) 

14-269.2 Weapons on campus or other 

educational property (14-269.2(d), (e) 

& (f)) 

(oo) 14-269.3(a) Weapons where 

alcoholic beverages are sold and 

consumed 

(pp) 

14-269.4 Weapons on state property 

and in courthouses 

(qq) 14-269.6 Possession and sale of 

spring-loaded projectile knives 

prohibited (14-269.6(b)) 

(rr) 

14-277 Impersonation of a lawenforcement 

or other public officer 

verbally, by displaying a badge or 

insignia, or by operating a red light 

(14-277 (d1) & (e)) 

(ss) 14-277.2(a) Weapons at 

parades, etc., prohibited 

(tt) 

(uu) 

(vv) 

(ww) 

14-277.3 Stalking (14-277.3(b)) 

CH 14 Art. 36A 14-288.2(b) Riot 

(14-288.2(b)) 

CH 14 Art. 36A 14-288.2(d) Inciting 

to riot (14-288.2(d)) 

CH 14 Art. 36A 14.288.6(a) Looting; 

trespassing during emergency (14- 

288.6(a)) 

(xx) CH 14 Art. 36A 14-288.7(c) 

Transporting weapon or substance 

during emergency (14- 

288.7(c)) 

(yy) 

CH 14 Art. 36A 14-288.9(c) Assault 

on emergency personnel; 

punishments (14-288.9(c)) 

(zz) 14-315(a) Selling or giving 

weapons to minors 

(aaa) 14-315.1 Storage of firearms to 

protect minors 

(bbb) 14-316.1 Contributing to delinquency 

(ccc) 14-318.2 Child abuse 

(ddd) 14-360 Cruelty to animals 

(eee) 14-361 Instigating or 

promoting cruelty to animals 

(fff) 14-401.14 Ethnic intimidation; 

teaching any technique to be used for 

(14-401.14(a) and (b)) 

(ggg) 

(hhh) 

14-454(a) or (b) Accessing 

computers 

14-458 Computer trespass (Damage 

less than two thousand five hundred 

dollars ($2500.00) 

(iii) 15A-266.11 Unauthorized use 

of DNA databank; willful disclosure 

(15A-266.11(a) and (b)) 

(jjj) 15A-287 Interception and 

disclosure of wire etc. 

communications 

(kkk) 15B-7(b) Filing false or 

fraudulent application for 

compensation award 

(lll) 18B-902(c) False statements in 

application for ABC permit (18B- 

102(b)) 

(mmm) 20-37.8(a) & (c) Fraudulent use of a 

fictitious name for a special 

identification card (20-37.8(b)) 

(nnn) 20-102.1 False report of theft or 

conversion of a motor vehicle 

(ooo) 20-111(5) Fictitious name or 

(ppp) 

address in application for registration 

20-130.1 Use of red or blue lights on 

vehicles prohibited (20-130.1(e)) 

(qqq) 20-137.2 Operation of vehicles 

resembling law-enforcement vehicles 

(20-137.2(b)) 

(rrr) 20-138.1 Driving while impaired 

(punishment level 1 (20-179(g))or 2 

(20-179(h)) 


752


(sss) 20-138.2 Impaired driving in 

commercial vehicle (20-138.2(e)) 

(ttt) 20-141.5(a) Speeding to elude 

arrest 

(uuu) 20-166(b) Duty to stop in 

event of accident or collision 

(vvv) 20-166(c) Duty to stop in 


(www) 20-166(c1) Duty to stop in 


(xxx) 50B-4.1 Knowingly 

violating valid protective order 

(yyy) 58-33-105 False statement in 

applications for insurance 

(zzz) 58-81-5 Careless or 

negligent setting of fires 

(aaaa) 62A-12 Misuse of 911 

system 

(bbbb) 90-95(d)(2) Possession of 

schedule II, III, IV 

(cccc) 90-95(d)(3) Possession of 

Schedule V 

(dddd) 90-95(d)(4) Possession of 

Schedule VI (when punishable as 

Class 1 misdemeanor) 

(eeee) 90-95(e)(4) Conviction of 2 or 

more violations of Art. 5 

(ffff) 90-95(e)(7) Conviction of 2 or 

more violations of Art. 5 

(gggg) 90-113.22 Possession of drug 

paraphernalia (90-113.22(b)) 

(hhhh) 90-113.23 Manufacture or 

delivery of drug paraphernalia (90- 

113.23(c)) 

(iiii) 97-88.2(a) Misrepresentation 

to get worker's compensation 

payment 

(jjjj) 108A-39(a) Fraudulent 

misrepresentation of public assistance 

(kkkk) 108A-53 Fraudulent 

misrepresentation of foster care and 

adoption assistance payments 

(llll) 108A-64(a) Medical assistance 

recipient fraud; less than four 

hundred dollars ($400.00) (108- 

64(c)(2)) 

(mmmm)108A-80 Recipient check 

register/list of all recipients of AFDC and 

state-county special assistance (108A-80(b)) 

(nnnn) 

108A-80 Recipient 

check register/ list of all recipients of 

AFDC and state-county special 

assistance; political mailing list 

(108A-80(c)) 

(oooo) 113-290.1(a)(2) Criminally 

negligent hunting; no bodily 

disfigurement 

(pppp) 113-290.1(a)(3) Criminally 

negligent hunting; bodily 

disfigurement 

(qqqq) 113-290.1(a)(4) Criminally 

negligent hunting; death results 

(rrrr) 113-290.1(d) Criminally 

negligent hunting; person 

convicted/suspended license 

(ssss) 143-58.1(a) Use of public 

purchase or contract for private 

benefit (143-58.1(c)) 

(tttt) 148-45(d) Aiding escape or 

attempted escape from prison 

(uuuu) 162-55 Injury to prisoner 

by jailer 

(vvvv) Common-Law misdemeanors: 

(i) Going Armed to the Terror 

of the People 

(ii) Common-Law Mayhem 

(iii) False Imprisonment 

(iv) Common-Law Robbery 

(v) Common-Law Forgery 

(vi) Common-Law Uttering of 

Forged paper 

(vii) Forcible Trespass 

(viii) Unlawful Assembly 

Common-Law Obstruction of Justice 

(wwww) Those offenses occurring in other 

jurisdictions which are comparable to 

the offenses specifically listed in (a) 

through (vvvv) of this Rule. 

(xxxx) Any offense proscribed by 18 USC 

922(g)(8) [Lautenburg Amendment] 

that would prohibit possessing a 

firearm or ammunition. 

(10) "Pilot Courses" means those courses approved 

by the Education and Training Committee, 

consistent with 12 NCAC 09G .0404, which 

are utilized to develop new training course 

curricula. 

(11) "Probation/Parole Officer" means an employee 

of the North Carolina Department of 

Correction, Division of Community 

Corrections, whose duties include supervising, 

evaluating, or otherwise instructing offenders 

placed on probation, parole, post release 

supervision, or assigned to any other 

community-based program operated by the 

Division of Community Corrections. 

(12) "Probation/Parole Officer-Intermediate" means 

an employee of the North Carolina Department 

of Correction, Division of Community 

Corrections, other than a regular 

probation/parole officer who is trained in 

corrections techniques, and is an authorized 

representative of the courts of North Carolina 

and the Department of Correction, Division of 

Community Corrections, whose duties include 

supervising, investigating, reporting, and 


753


surveillance of serious offenders in an 

intensive probation, parole, or post release 

supervision program operated by the Division 

of Community Corrections. 

(13) "Qualified Assistant" means an additional staff 

person designated as such by the School 

Director to assist in the administration of a 

course when an accredited institution or 

agency assigns additional responsibilities to 

the certified School Director during the 

planning, development, and implementation of 

an accredited course. 

(14) "School" means an institution, college, 

university, academy, or agency which offers 

penal or corrections training for correctional 

officers, probation/parole officers, or 

probation/parole officers-intermediate. 

"School" includes the corrections training 

course curricula, instructors, and facilities. 

(15) "School Director" means the person designated 

by the Secretary of the North Carolina 

Department of Correction to administer the 

"School." 

(16) "Standards Division" means the Criminal 

Justice Standards Division of the North 


(17) "State Corrections Training Points" means 

points earned toward the State Corrections 

Officers' Professional Certificate Program by 

successful completion of 

Commission-approved corrections training 

courses. 20 classroom hours of 

Commission-approved corrections training 

equals one State Corrections training point. 

Authority G.S. 17C-2; 17C-6; 17C-10; 153A-217. 


CERTIFICATION OF CORRECTIONAL OFFICERS, 

PROBATION/PAROLE OFFICERS, AND 

PROBATION/PAROLE OFFICERS-SURVEILLANCE 

12 NCAC 09G .0205 PHYSICAL AND MENTAL 

STANDARDS 

(a) Every person employed as a correctional officer, 

probation/parole officer, or probation/parole officer-intermediate 

by the North Carolina Department of Correction shall have been 

examined and certified within one year prior to employment 

with the North Carolina Department of Correction by a licensed 

physician, physician's assistant, or nurse practitioner to meet the 

physical requirements to fulfill properly the officer's particular 

responsibilities as stated in the essential job functions. 

(b) Every person employed as a correctional officer, 


by the North Carolina Department of Correction shall have been 

administered within one year prior to employment with the 

North Carolina Department of Correction a psychological 

screening examination by a clinical psychologist or psychiatrist 

licensed to practice in North Carolina to determine the officer's 

mental and emotional suitability to fulfill properly the officer's 

particular responsibilities as stated in the essential job functions. 


12 NCAC 09G .0206 MORAL CHARACTER 

Every person employed as a correctional officer, 


by the North Carolina Department of Correction shall 

demonstrate good moral character as evidenced by, but not 

limited to: 

(1) not having been convicted of a felony for 10 

years or the completion of any corrections 

supervision imposed by the courts whichever 

is later; 

(2)(1) not having been convicted of a misdemeanor 

as defined in 12 NCAC 09G .0102(9) for three 

years or the completion of any corrections 

supervision imposed by the courts whichever 

is later; 

(2) not having been convicted of an offense that, 

under 18 USC 922(g)(8), would prohibit the 

possession of a firearm and/or ammunition; 

(3) having submitted to and produced a negative 

result on a drug test within 60 days of 

employment or any in-service drug screening 

required by the Department of Correction 

which meets the certification standards of the 

Department of Health and Human Services for 

Federal Workplace Drug Testing Programs, 

copies of which may be obtained from 

National Institute on Drug Abuse, 5600 Fisher 

Lane, Rockville, Maryland 20857 at no cost, to 

detect the illegal use of at least cannabis, 

cocaine, phencyclidine (PCP), opiates and 

amphetamines or their metabolites; 

(4) submitting to a background investigation 

consisting of: 

(a) verification of age; 

(b) 

(c) 

verification of education; 

criminal history check of local, state, 

and national files; 

(5) being truthful in providing all required 

information as prescribed by the application 

process. 


SECTION .0500 - ENFORCEMENT OF RULES 

12 NCAC 09G .0504 SUSPENSION: REVOCATION: 

OR DENIAL OF CERTIFICATION 

(a) The Commission shall revoke the certification of a 

correctional officer, probation/parole officer, or probation/parole 

officer-intermediate when the Commission finds that the officer 

has committed or been convicted of a felony offense. 

(b) The Commission may, based on the evidence for each case, 

suspend, revoke, or deny the certification of a corrections officer 


754


when the Commission finds that the applicant for certification or 

the certified officer: 

(1) has not enrolled in and satisfactorily 

completed the required basic training course in 

its entirety within prescribed time periods 

relevant or applicable to a specified position or 

job title; 

(2) fails to meet or maintain one or more of the 

employment standards required by 12 NCAC 

09G .0200 for the category of the officer's 

certification or fails to meet or maintain one or 

more of the training standards required by 12 

NCAC 09G .0400 for the category of the 

officer's certification; 

(3) has committed or been convicted of a 

misdemeanor as defined in 12 NCAC 09G 

.0102 after certification; 

(4) has been discharged by the North Carolina 

Department of Correction for: 

(A) commission or conviction of a motor 

vehicle offense requiring the 

revocation of the officer's drivers 

(B) 

license; or 

commission or conviction of any 

other offense involving moral 

turpitude; 

(5) has been discharged by the North Carolina 

Department of Correction because the officer 

lacks the mental or physical capabilities to 

fulfill the responsibilities of a corrections 

officer; 

(6) has knowingly made a material 

misrepresentation of any information required 

for certification or accreditation; 


false pretense, deception, fraud, 


obtained or attempted to obtain credit, training 

or certification from the Commission; 


false pretense, deception, fraud, 


aided another person in obtaining or 

attempting to obtain credit, training, or 

certification from the Commission; 

(9) has failed to notify the Standards Division of 

all criminal charges or convictions as required 

by 12 NCAC 09G .0302; 

(10) has been removed from office by decree of the 

Superior Court in accord with the provisions 

of G.S. 128-16 or has been removed from 

office by sentence of the court in accord with 

the provisions of G.S. 14-230; 

(11) has refused to submit to an applicant drug 

screen as required by 12 NCAC 09G .0206; or 

has refused to submit to an in-service drug 

screen pursuant to the guidelines set forth in 

the Drug Screening Implementation Guide as 

required by the Department of Correction; 

(12) has produced a positive result on a drug screen 

reported to the Commission as specified in 12 

NCAC 09G .0206(3), where the positive result 

cannot be explained to the Commission's 

satisfaction; or 

(13) has been denied certification or had such 

certification suspended or revoked by the 

North Carolina Criminal Justice Education and 

Training Standards Commission, the North 

Carolina Company/Campus Police Program, 

the North Carolina Sheriffs' Education and 

Training Standards Commission Commission, 

or a similar North Carolina, out of state or 

federal approving, certifying or licensing 

agency whose function is the same or similar 

to the aforementioned agencies if such 

certification was denied, suspended or revoked 

based on grounds that would constitute a 

violation of Subchapter 09G. 

(c) Following suspension, revocation, or denial of the person's 

certification, the person shall not remain employed or appointed 

as a corrections officer and the person shall not exercise any 

authority of a corrections officer during a period for which the 

person's certification is suspended, revoked, or denied. 


TITLE 21 – OCCUPATIONAL LICENSING BOARDS AND 

COMMISSIONS 

CHAPTER 31 - MARRIAGE AND FAMILY THERAPY 

LICENSURE BOARD 


the Marriage and Family Therapy Licensure Board intends to 

amend the rules cited as 21 NCAC 31 .0201-.0202, .0303, .0501- 

.0503, .0506, .0609, .0701, .0801 and repeal the rules citied as 

21 NCAC 31 .0302-.0303, .0901. 

Proposed Effective Date: July 1, 2009 

Instructions on How to Demand a Public Hearing: (must be 

requested in writing within 15 days of notice): Send a letter 

requesting a public hearing and indicating the amendment(s) for 

which a hearing is requested. Letter should include contact 

information comprised, but not limited to: name, address, phone 

number, email (if applicable). Send letter to Wanda Nicholson, 

NC Marriage & Family Therapy Licensure Board, PO Box 

37669, Raleigh, NC 27627 or Fax to: 919-772-6007. 

Reason for Proposed Action: To clarify required educational 

credentials and associated procedures for verifying credentials; 

to clarify when examination may be taken and what passing the 

exam means for Associate Designation and/or licensure; to 

clarify number of times examination can be taken; to clarify 

graduate degree coursework; to clarify requirements for an 

approved supervisor; to clarify coursework required for those 


755


graduate level applicants who are not graduates of accredited 

MFT programs; to clarify what does and does not constitute 

supervised clinical experience; to clarify how to locate a current 

copy of the approved code of ethics; to increase the number of 

hours of annually required continuing education credits from 12 

to 20 for licensees seeking license renewal; to include ethics 

training and approved supervision in the continuing education 

requirements; to clarify the number of hours allowable for 

distance learning coursework for continuing education - 

maximum of 5 out of 20 hours or 25%; to require successful 

completion of the National MFT Exam prior to receiving the 

Associate Designation in order to assist in assessing competency 

to practice MFT; to clarify that MFTA designation is equivalent 

to provisional licensure; to clarify need for written reciprocity 

process if necessary. 


proposed rule: Persons may submit objections to the proposed 

rules changes to Wanda Nicholson, NC Marriage & Family 

Therapy Licensure Board, PO Box 37669, Raleigh, NC 27627 

or Fax (919)772-6007. 

Comments may be submitted to: Wanda Nicholson, PO Box 

37669, Raleigh, NC 27627, phone (919)772-6600, fax 

(919)772-6007, email ncmftlb@nc.rr.com. 


















State 

Local 


None 

SECTION .0200 - APPLICATION FOR LICENSING 

21 NCAC 31 .0201 CREDENTIALS REQUIRED 

The credentials required for each applicant consist of: 

An applicant for licensure as a marriage and family therapist 

shall submit the following to the Board. 

(1) notarized Notarized application form and 

application fee; 

(2) official graduate college transcripts sent 

directly to the Board by the training 

institution(s); 

(3) written evidence, transcript, or other 

document(s) evidencing satisfactory 

completion of a course of study in marriage 

and family therapy from an appropriate nondegree 

granting agency, institution or program 

when applicable; 

(2) Official graduate college transcripts sent 

directly to the Board by the training 

institution(s) evidencing completion of a 

master's or doctoral degree in marriage and 

family therapy from an academically 

accredited educational institution, or 

(a) Official transcript evidencing 

completion of a master's or doctoral 

degree in an allied mental health field 

with course of study encompassing 

coursework as defined by the Board 

in 21 NCAC 31 .0501. 

(b) Additional documentation (course 

catalog and syllabi) of qualifying 

coursework is required if degree is 

not from a Commission on 

Accreditation for Marriage and 

Family Therapy Education 

(COAMFTE) accredited program. 

(4)(3) approved Supervisors' Reports verifying 

clinical experience and supervision; and 

Reports from American Association of 

Marriage and Family Therapy (AAMFT) 

Approved Supervisors using Board forms 

verifying clinical experience, supervision, and 

endorsement for licensure; and 

(5)(4) evidence of good moral character, which must 

include three endorsements for licensure from 

professionals in the community. Evidence of 

good moral character, which shall include 

three endorsements for licensure, using Board 

forms, from other licensed or certified mental 

health professionals familiar with the 

applicant. 

An application will automatically be placed in an inactive file if 

all necessary materials are not received within one year from the 

date of the application. All application materials shall be 

received within one year from the date of the application or the 

file shall be closed. 

Authority G.S. 90-270.51(b); 90-270.52; 90-270.54(1)(2). 

21 NCAC 31 .0202 REVIEW PROCEDURE 

(a) Copies of all materials pertaining to an applicant are shall be 

mailed to each Board member the Board office for receipt one 

month prior to the scheduled meeting during which the 

application will be reviewed. Applications shall be reviewed by 

the Board at scheduled meetings or special meetings called for 

such purpose by the Board Chair. 


756


(b) If the credentials and application are approved, the applicant 

shall be so informed and is then given information regarding the 

examination National Marriage and Family Therapy 

Examination. 

(c) If the credentials or application are deemed unacceptable by 

the Board, the applicant shall be informed with an explanation of 

the areas which are considered deficient. Applicants may 

remedy deficiencies within one year from the date of notification 

without having to reapply. After one year of application 

inactivity, the file shall be closed and a new application and fee 

is required. 

(d) If during the review process, questions arise from any source 

which may pertain to the applicant's qualifications for licensing, 

the Board may seek to resolve the questions by communication 

with the person who made the comments or any other person(s), 

or may refer the matter to counsel or to a member or employee 

of the Board for investigation. 

(e) If an application is denied, the grounds for denial shall be 

given to the applicants. applicant in writing. The applicant may 

request reconsideration of the application and present additional 

written material in support thereof which shall be reviewed at 

the next scheduled Board meeting. The Board shall not be is not 

required to reconsider its decision to deny an application, nor 

shall it be is it required to review any materials submitted in 

support of a request for reconsideration. 

Authority G.S. 90-270.51(b). 

SECTION .0300 - EXAMINATION 

21 NCAC 31 .0301 WRITTEN EXAMINATION 

(a) The Board shall employ a standardized national examination 

in Marriage and Family Therapy as approved by the Association 

of Marriage and Family Therapy Regulatory Boards 

(AMFTRB). Licensure as a North Carolina Marriage and 

Family Therapist requires passing the National Marriage and 

Family Therapy Examination. 

(b) The examination shall be given at least biannually. 

(c) The passing score on the examination shall be determined by 

testing agency and the Board. Board in collaboration with the 

testing agency. 

(d) The qualifying examination may be taken when the Board 

approves the application. 

Authority G.S. 90-270.51(b); 90-270.55(a)(b)(c). 

21 NCAC 31 .0302 REPORTING OF SCORES 

The Board shall inform the applicant of their examination score. 

A passing score qualifies the applicant for licensure. Those who 

have not passed the examination are referred to Rule .0303 of 

this Section. 


21 NCAC 31 .0303 REEXAMINATION 

An applicant who has failed the written examination shall not be 

admitted to a subsequent examination for a period of at least six 

months. The applicant for re-examination shall not submit a 

new application form, but shall update any information in the 

application that is no longer accurate and pay another 

examination fee. 

Authority G.S. 90-270.51(b); 90-270.55(e). 

SECTION .0400 - RENEWAL 

21 NCAC 31 .0401 LICENSURE RENEWAL FORM 

(a) The Licensure Renewal Form shall include year of renewal, 

fee, the licensee's current home and business address and 

telephone numbers. 

(b) Licenses not renewed by July 1 are expired. 

(c) Copies of continuing education certificates shall be attached 

to the renewal form. 

Licensees shall attach copies of continuing education certificates 

to the renewal form. 

Authority G.S. 90-270.51(b); 90-270.58. 

SECTION .0500 – DEFINITIONS 

21 NCAC 31 .0501 APPROPRIATE COURSE OF 

STUDY 

The "appropriate course of study" in an allied mental health field 

in G.S. 90-270.54(1)a is a graduate degree that includes specific 

marriage and family therapy content including course work in 

general family studies, marriage and family therapy, personality 

theory, psychopathology, and a clinical practicum in marriage 

and family therapy. theoretical foundation of marriage and 

family therapy, assessment and diagnosis, practice of marriage 

and family therapy, human development and family relations, 

professional identity and ethics, clinical research, and supervised 

clinical practicum or internship. 

Authority G.S. 90-270.47(1)a-d; 90-270.51(b); 90-270.54(1)a. 

21 NCAC 31 .0502 APPROVED ONGOING 

SUPERVISION 

(a) Approved ongoing On-going supervision as contained in 

G.S. 90-270.54(a)(1)b means face-to-face conversation with a 

person who: supervisor consistent with 

(1) is a licensed marriage and family therapist and 

has completed or is completing: 

(A) 36 hours of ongoing supervision of 

supervision while supervising at least 

two marriage and family therapy 

supervisees; 

(B) a three semester hour course or 

equivalent in marriage and family 

therapy supervision; 

(C) a philosophy of supervision 

statement; 

(D) a report of the supervision process 

with one marriage and family therapy 

supervisee; or 

(2) holds the equivalent as determined by the 

Board. 

the standards set forth by the American Association of Marriage 

and Family Therapy, which are incorporated by the Board by 


757


reference. These incorporated standards include subsequent 

amendments and editions. A copy of these standards may be 

obtained at no charge by writing the American Association of 

Marriage and Family Therapy at 112 Alfred Street, Alexandria, 

VA 22314-3061 or at their website, www.aamft.org. 

(b) Approved ongoing On-going supervision shall be obtained 

usually in periods of approximately one hour each and shall 

focus on the raw data from the supervisee's continuing clinical 

practice, which shall be available to the supervisor through a 

combination of direct observation, co-therapy, written clinical 

notes, and audio and video recordings. 

(c) None of the following shall be deemed to constitute 

acceptable approved constitutes ongoing supervision: 

(1) peer supervision, i.e., supervision by a person 

of equivalent, rather than superior, 

qualifications, status and experience; 

(2) supervision by current or former family 

members or any other persons where the 

nature of the personal relationship prevents or 

makes difficult the establishment of a 

professional relationship; 

(3) administrative supervision - for example, 

clinical practice performed under 

administrative rather than clinical supervision 

by an institutional director or executive; 

(4) a primarily didactic process wherein 

techniques or procedures are taught in a group 

setting, classroom, workshop or seminar; 

(5) consultation, staff development, or orientation 

to a field or program, or role-playing of family 

interrelationships as a substitute for current 

clinical practice in an appropriate a clinical 

situation. 

(d) Applicants for licensure must have accumulated 200 hours 

of approved ongoing supervision concurrent with the completion 

of the 1,500 hours of clinical experience required by G.S 90- 

270.54(a)(1)b. G.S. 90-270.54(a)(1)b and must remain under 

supervision at least monthly until licensed. 

(e) Graduates of marriage and family therapy programs who 

have completed 200 hours of approved ongoing supervision 

within their degree shall complete a minimum of 25 hours of 

approved ongoing supervision concurrently with the completion 

of the remaining 1,000 hours of post-degree clinical experience 

required by G.S. 90-270.54(a)(1)b. Graduates of marriage and 

family therapy programs may apply up to 500 hours of direct 

clinical experience toward the 1500 required as long as those 

hours were obtained under the direct supervision of an AAMFT 

Approved Supervisor or AAMFT Supervisor Candidate. 

(f) Supervision Reports shall be submitted on supervision report 

forms provided by the Board. Supervision report forms are 

contained within the licensure application packet which may be 

obtained at no charge by writing the Board at their current 

address of Post Office Box 37669, Raleigh, North Carolina 

27627 or subsequently published address or downloaded from 

www.nclmft.org. 

Authority G.S. 90-270.51(b); 90-270.54(1)b. 

21 NCAC 31 .0503 EQUIVALENCY 

An appropriate course of study for an "equivalent" degree under 

G.S. 90-270.47(1)e is defined by the Board to consist of as a 45- 

semester hour graduate program. Twenty-seven 33 semester 

hours shall consist of the following content and clinical training: 

(1) General Family Studies (six semester hours). 

This category is viewed by the Board as being 

a broad and inclusive one which may include 

courses in marriage, family relations, child 

development, family sociology, or other such 

related topics in which the marriage and 

family content is clearly evident. 

(2) Marriage and Family Therapy Theory (six 

semester hours). This category shall include 

specific and extensive content in systems 

theory as well as other theoretical approaches 

to marriage and family therapy. In addition, 

the Board shall consider course work in this 

category which exceeds six semester hours to 

be applicable toward meeting the requirements 

for Item (1) of this Rule. 

(3) Individual Studies. Theories of personality 

(three semester hours), and psychopathology 

or abnormal behavior (three semester hours). 

(4) Clinical Practicum in Marriage and Family 

Therapy (nine semester hours or 20 hours per 

week for 12 months). 

(1) Theoretical Foundation of Marriage and 

Family Therapy (six semester hours) 

(2) Assessment and Diagnosis (three semester 

hours) 

(3) Practice of Marriage and Family Therapy (six 

semester hours) 

(4) Human Development and Family Relations 

(three semester hours) 

(5) Professional Identity and Ethics (three 

semester hours) 

(6) Research in Marriage and Family Therapy 

(three semester hours) 

(7) Supervised Clinical Practicum or Internship 

(nine semester hours) 

The remaining 1812 semester hours shall consist of core course 

work appropriate to the disciplinary specialty in which the 

degree is granted. 

Authority G.S. 90-270.47(1)e; 90-270.51(b); 90-270.54(1)a. 

21 NCAC 31 .0504 ALTERNATIVE TO CLINICAL 

PRACTICUM 

In lieu of the clinical practicum requirements under Rule.0501 or 

Rule .0503 of this Section, the Board shall accept evidence of a 

supervised clinical practicum defined as at least 120 clinical 

hours with at least 24 hours of supervision obtained subsequent 

to the granting of a degree in an otherwise appropriate course of 

study providing the supervision meets the requirements of "ongoing 

supervision" under Rule .0502 of this Section. 



758


21 NCAC 31 .0506 SUPERVISED CLINICAL 

EXPERIENCE 

(a) "Supervised Clinical Experience" means hours of actual 

face-to-face marriage and family therapy contact with 

individuals, couples, and families 

(b) Group therapy with the exception of couple and family 

groups, case staffing, community and other collateral contact, 

agency meetings, and paperwork do not meet the requirements 

for supervised clinical experience and cannot be counted toward 

the 1500 hours of clinical experience required for licensure. 

(a) As used in this Chapter, direct client contact is defined as 

face-to-face (therapist and client) therapy with individuals, 

couples, families, or groups from a systemic perspective. Direct 

client contact must: 

(1) Relate to client treatment plans; 

(2) Be goal directed; and 

(3) Assist client to affect change in cognition, 

affect and behavior. 

(b) Assessments may be counted up to 150 hours of direct client 

contact. 

(c) Client psycho-education may be counted up to 50 hours 

direct client contact. 

(d) The following are not direct client contact and may not be 

counted: 

(1) Observing therapy without active participation 

at some point during or immediately following 

the session, 

(2) Record keeping, 

(3) Administrative activities, 

(4) Supervision, or 

(5) Client contact while not receiving 

supervision. 

Authority G.S. 90-270.51(b); 90-270.54(1)b. 

SECTION .0600 - CODE OF ETHICAL PRINCIPLES 

21 NCAC 31 .0609 ETHICAL PRINCIPLES 

(a) The Board adopts the code of ethical principles of the 

American Association for Marriage and Family Therapy 

(AAMFT) published as the AAMFT CODE OF ETHICAL 

PRINCIPLES FOR MARRIAGE AND FAMILY THERAPISTS 

of August 1991, or its successor publication. by reference 

including subsequent amendments and editions. The current 

code is published on the AAMFT's website (www.aamft.org). 

(b) Each applicant, associate, or licensee is responsible for 

being familiar with and following this code of ethics ethical 

principles. 

(c) A copy of this the code of ethics may also be obtained by 

writing the American Association for Marriage and Family 

Therapy, 1133 15th Street, NW, Suite 300, Washington, D.C. 

20006. 112 Alfred Street, Alexandria, VA 22314-3061. 

Authority G.S. 90-270.51(b); 90-270.60(5). 

SECTION .0700 - CONTINUING EDUCATION 

21 NCAC 31 .0701 REQUIREMENTS FOR 

CONTINUING EDUCATION 

(a) Licensed Marriage and Family Therapists shall submit each 

year with the license renewal forms evidence of 12 20 hours of 

continuing education credits in marriage and family therapy 

continuing education obtained subsequent to the prior license 

renewal. Evidence of completion shall consist of a certificate of 

attendance and completion signed by the responsible officer of a 

continuing education provider. provider and shall include date(s) 

of attendance, number of hours, name of attendee, and name of 

course. 

(b) The Board shall not preapprove continuing education 

programs. 

(c)(b) Only continuing education units that by title and content 

clearly deal with marriage and family therapy practice and 

therapeutic issues, ethics, and supervision of marriage and 

family therapy shall be accepted approved by the Board. 

(c) On-going supervision by an AAMFT Approved Supervisor 

or AAMFT Supervisor Candidate may be utilized for up to 12 

hours of continuing education. Written documentation of the 

supervisor's status shall be provided to the Board via a copy of 

the AAMFT supervisor or supervisor candidate verification 

form. 

(d) Three hours of ethics training in the provision of 

professional mental health services is required (as part of the 

required 20 hours of continuing education) for each renewal 

period. 

(e) The maximum number of hours granted for presenting 

courses is five. 

(d)(f) Continuing Education credit shall not be accepted for the 

following: 

(1) Regular work activities, administrative staff 

meetings, case staffing/reporting; 

(2) Membership in, holding office in, or 

participation on boards or committees, 

business meetings of professional 

organizations, or banquet speeches; 

(3) Independent unstructured or self-structured 

learning; 

(4) Training specifically related to policies and 

procedures of an agency; 

(5) Non-therapy content programs such as finance 

or business management. 

(e)(g) If a person submits documentation for continuing 

education that is not clearly identifiable as dealing with marriage 

and family therapy, the Board shall request a written description 

of the continuing education and how it applies to professional 

practice in marriage and family therapy. If the Board determines 

that the training is not appropriate, the individual shall be given 

90 days from the date of notification to replace the hours not 

allowed. Those hours shall be considered replacement hours and 

cannot be counted during the next renewal period. 

(f)(h) If evidence of satisfactory completion of marriage and 

family continuing education is not presented to the Board within 

90 days from the date of notification, the license shall expire 

automatically. 

Authority G.S. 90-270.51(b); 90-270-58C. 


759


SECTION .0800 - ASSOCIATE STATUS 

21 NCAC 31 .0801 MARRIAGE AND FAMILY 

THERAPY ASSOCIATE 

(a) The designation Marriage and Family Therapy Associate 

(MFTA) shall be granted by the Board to persons preparing for 

the practice of marriage and family therapy who: 

(1) have completed a master's or doctoral marriage 

and family therapy degree or Board approved 

equivalent in an allied mental health field; 

(2) show evidence of intent to accrue the required 

clinical contact hours for licensing under 

approved supervision; 

(3)(2) have filed a Marriage and Family Therapy 

Associate application form with the Board, 

which shall include includes evidence of an 

appropriate coursework course of study as 

defined in Rule .0503 of this Chapter and the 

agreement of at least one Approved Supervisor 

to provide supervision. supervisor for 

supervision that meets the standards in Rule. 

0502(a) of this Chapter. 

(b) Upon approval by the Board Board, a certificate designating 

the applicant as a Marriage and Family Therapy Associate will 

shall be issued and be valid for three years from the date of 

issue. 

(c) Upon written petition to the Board and with demonstration 

of special circumstances and steady progress toward licensure 

the Board may grant a one year extension of the Associate 

(MFTA) designation. Special circumstances are defined as 

events beyond the control or fault of the MFTA including major 

illness of self, partner or child, or death of partner or child. 

(d) Persons holding the Associate (MFTA) designation may in 

no way not identify themselves as or imply that they are fully 

licensed marriage and family therapists. therapists (LMFTs). 

(e) Only clinical and approved supervision hours acquired from 

the postmarked date of application to the Board shall be counted 

toward full licensure requirements. 

Authority G.S. 90-270.48(b)(1); 90-270.51(b). 

SECTION .0900 - RECIPROCITY 

21 NCAC 31 .0901 RECIPROCAL LICENSE 

A reciprocal license shall be granted under G.S. 90-270.56 when 

there is a written agreement between the North Carolina Board 

and the Board regulating Marriage and Family Therapy in the 

State in which the applicant holds a valid license 

Authority G.S. 90-270.51(b); 90-270.56. 

* * * * * * * * * * * * * * * * * * * * 

CHAPTER 56 – BOARD OF EXAMINERS FOR 

ENGINEERS AND SURVEYORS 


the NC Board of Examiners for Engineers and Surveyors intends 

to amend the rules cited as 21 NCAC 56 .0501 - .0503, .0505, 

.0602 - .0603, .0606, .0701, .0802, .0804, .1102 - .1103, .1106, 

.1301, .1413, .1602 - .1604, .1606 - .1608, .1702 - .1703, .1705 - 

.1707, .1712 - .1713. 

Proposed Effective Date: March 1, 2009 


Date: December 12, 2008 

Time: 9:00 a.m. 

Location: 4601 Six Forks Road, Suite 310, Raleigh, NC 27609 

Reason for Proposed Action: Update and clarify names of 

organizations in 21 NCAC 56 .0501 and .0502; add standard for 

reasonable exam accommodation in .0503 and .0603; clarify 

that a two hour exam is required for surveying comity in .0602; 

update exam name in .0603; increase renewal fee in .0505, 

.0606 and .0804; clarify language and define timely in .0701; 

clarify language in .0802; clarify seal size in .1102; require firm 

license number on documents and clarify language in .1103, 

.1106 and .1301; delete time requirement for service of decision 

in .1413; revise Standards of Practice for Land Surveying to: 

require map or report in .1602, clarify language in .1603 and 

.1604, add certification statement in .1604, clarify cost of 

required standard for topographic and planimetric mapping in 

.1606, revise definition of Global Positioning System and 

required certification in .1607, allow choice of accuracy 

standard for LIS/GIS surveys in .1608; delete deemed 

acceptability of sponsor courses in .1702; add internet courses, 

clarify language and define active participation in .1703; define 

credit for correspondence type courses in .1705; revise to 

require log and records and delete reference to national records 

database in .1706 and .1712; clarify exemption in .1707; clarify 

requirement for residents of other jurisdictions in .1709; and 

sponsor fee and revised requirements in .1713. 


proposed rule: Objections to the proposed rule amendments 

may be submitted, in writing, to David S. Tuttle, Board Counsel, 

NC Board of Examiners for Engineers and Surveyors, 4601 Six 

Forks Road, Suite 310, Raleigh, NC 27609. Objections may 

also be submitted during the public hearing. Objections shall 

include the specific rule citation(s), the nature of the 

objection(s), and the complete name(s) and contact information 

for the individual submitting the objection(s). Objections must 

be received by the end of the comment period at 5:00 p.m. on 

January 2, 2009 

Comments may be submitted to: David S. Tuttle, Board 

Counsel, NC Board of Examiners for Engineers and Surveyors, 

4601 Six Forks Road, Suite 310, Raleigh, NC 27609, phone 

(919) 791-2000 ext 111, email dstuttle@ncbels.org 








760













State 

Local 


None 

SECTION .0500 - PROFESSIONAL ENGINEER 

21 NCAC 56 .0501 REQUIREMENTS FOR 

LICENSING 

(a) Education. The education of an applicant shall be 

considered in determining eligibility for licensing as a 

Professional Engineer. The following terms used by the Board 

for the specific educational requirements to be eligible to be 

licensed as a Professional Engineer are defined by the Board as 

follows: 

(1) Engineering Curriculum of Four or More 

Years Approved by the Board is defined as a 

program that has been accredited by the 

Engineering Accreditation Commission (EAC) 

of the Accreditation Board for Engineering 

and Technology (ABET). This program is 

incorporated by reference including 

subsequent amendments and editions. This 

material is available for inspection at the office 

of the North Carolina Board of Examiners for 

Engineers and Surveyors. Copies may be 

obtained at the Board office at a cost of five 

dollars ($5.00) per copy. 

(2) Engineering or Related Science Curriculum of 

Four or More Years Other than Ones 

Approved by the Board is defined as a 

curriculum, although not accredited by ABET, 

of technical courses which contains 

engineering or scientific principles. 

(3) Equivalent Education Satisfactory to the 

Board: 

(A) 

(B) 

A graduate degree in Engineering 

from an institution in which the same 

discipline undergraduate engineering 

program has been accredited by 

ABET (EAC) shall be is considered 

equivalent to an engineering 

curriculum of four or more years 

approved by the Board. 

A bachelor's degree in Engineering 

Technology Technology, whether or 

not accredited by the Technology 

(C) 

(D) 

Accreditation Commission (TAC) of 

ABET, shall be is considered 

equivalent to an engineering or 

related science curriculum of four or 

more years other than one approved 

by the Board. 

An associate degree in an engineering 

related curriculum with an additional 

two years of progressive engineering 

experience shall be is considered 

equivalent to an engineering or 

related science curriculum of four or 

more years other than one approved 

by the Board. 

A high school diploma with an 

additional four years of progressive 

engineering experience shall be is 

considered equivalent to an 

engineering or related science 

curriculum of four or more years 

other than one approved by the 

Board. 

(E) Foreign degrees shall be are 

considered only after receipt of an 

evaluation equivalency report from 

the Foreign Engineering Education 

Evaluation Program (FEEEP)Center 

for Professional Engineering 

Education Services, an affiliate of the 

National Council of Examiners for 

Engineering and Surveying (NCEES), 

or from the American Association of 

Collegiate Registrars and Admissions 

Officers (AACRAO). The Board 

shall equate the degree to one of the 

education categories in (a)(1)-(3) 

Subparagraphs (a)(1) through (3) of 

this subsection .0501.Rule. 

(b) Experience: 

(1) General. The experience of an applicant shall 

be considered in determining whether an 

applicant is eligible to be licensed as a 

Professional Engineer. 

(2) Required Experience. In evaluating the work 

experience required, the Board may consider 

the total experience record and the progressive 

nature of the record. (Not less than half of 

required engineering experience shall be of a 

professional grade and character, and shall be 

performed under the responsible charge of a 

licensed Professional Engineer, or if not, a 

written explanation shall be submitted 

showing why the experience should be 

considered acceptable and the Board may 

approve if satisfied of the grade and character 

of the progressive experience.) 

(3) Definition. The terms "progressive 

engineering experience" or "progressive 

experience on engineering projects" mean that 


761


during the period of time in which an applicant 

has made a practical utilization of acquired 

knowledge, continuous improvement, growth 

and development have been shown in the 

utilization of that knowledge as revealed in the 

complexity and technical detail of the work 

product or work record. The applicant must 

show continuous assumption of greater 

individual responsibility for the work product 

over that period of time. The progressive 

experience on engineering projects shall be of 

a grade and a character which indicates to the 

board Board that the applicant may be is 

competent to practice engineering. 

(4) Specific Credit for Experience. In evaluating 

progressive engineering experience, the Board 

may give credit for experience in the following 

areas of work: 

(A) Graduate schooling or research in an 

approved engineering program 

resulting in award of an advanced 

engineering degree, one year for each 

such degree - maximum two years; 

(B) Progressive land surveying - 

(C) 

maximum two years; and 

Teaching of engineering subjects at 

the university level in an approved 

engineering program offering a four 

year or more degree approved by the 

Board - maximum two years. 

The Board, however, shall not accept combinations, restricted 

only to the categories noted above, as fulfilling all the necessary 

statutory experience requirements. Every applicant for licensure 

as a Professional Engineer, as part of the total experience 

requirement, shall show a minimum of one year experience of a 

progressive engineering nature in industry, or government, or 

under a licensed Professional Engineer offering service to the 

public. 

Full-time engineering faculty members who teach in an 

approved engineering program offering a four year or more 

degree approved by the Board, may request waiver of the 

minimum one year experience in industry, government, or 

private practice if they demonstrate consulting or research work 

of at least one year's duration, which was pursued to fruition, and 

which is of a progressive engineering nature. The faculty 

applicant shall document the work and demonstrate that the 

work meets the Board's requirement. 

(5) Other Experience is Considered if it is: 

(A) Experience obtained prior to 

graduation as part of an ABET 

accredited engineering program 

which must be shown on the 

transcript, with a maximum credit of 

one year; or it is 

(B) 

Experience obtained in a foreign 

country that is performed under direct 

supervision of a Professional 

Engineer licensed with a member 

Board of the National Council of 


Examiners for Engineering and 

Surveying (NCEES). 

21 NCAC 56 .0502 APPLICATION PROCEDURE: 

INDIVIDUAL 

(a) General. A person desiring to become licensed as a 

Professional Engineer must make application to the Board on a 

form prescribed and furnished by the Board. 

(b) Request. A request for an appropriate application form may 

be made at to the Board address.office or obtained from the 

website. 

(c) Applicable Forms: 

(1) Engineering Intern Form. This form requires 

the applicant to set forth personal history, 

educational background, provide character 

references, and furnish a photograph for 

identification purposes. The form is for use by 

those graduating, or those having graduated, 

from an engineering curriculum approved by 

the Board as follows: 

(A) Students graduating within two 

semesters, or the equivalent, of the 

semester in which the fundamentals 

of engineering examination is 

administered. 

(B) 

Graduates with less than two years 

since graduation. 

(2) Professional Engineer Form: 

(A) All persons, including comity 

applicants and graduates of an 

engineering curriculum approved by 

the Board with more than two years 

progressive engineering experience, 

shall apply for licensure by using the 

Professional Engineer form. The 

submission of this form shall signify 

that the applicant seeks licensure, and 

shall result in seating for each 

examination required, when the 

applicant is so qualified. This form 

requires the applicant to set forth 

personal and educational background, 

engineering experience and character 

references. A passport-type 

photographic quality portrait that is 

adequate for current clear 

identification purposes is required. 

(B) Persons who have previously 

completed the fundamentals 

examination by use of the 

Engineering Intern Form shall submit 

the Professional Engineer Form to 

request licensure when qualified to 

take the final eight-hour examination. 

(3) Supplemental Form. Persons who initially 

applied for the fundamentals of engineering 

exam using the Professional Engineer form 


762


must supplement the initial application upon 

applying for the principles and practice 

examination. The supplemental form requires 

that engineering experience from the date of 

the initial application until the date of the 

supplemental application be listed. Five 

references shall be submitted which are current 

to within one year of the examination date. 

(4) Reference Forms: 

(A) Persons applying to take the 

examination for fundamentals of 

engineering must submit to the Board 

names of three individuals who are 

familiar with the applicant's work, 

character and reputation. Persons 

applying to take the examination for 

principles and practices practice of 

engineering must submit to the Board 

names of five individuals who are 

familiar with the applicant's work, 

character and reputation. Two of 

these individuals must be 

Professional Engineers. 

(B) In addition to the applicant 

submitting names to the Board of 

individuals familiar with the 

applicant's work, character and 

reputation, those individuals listed 

shall submit to the Board their 

evaluations of the applicant on forms 

supplied them by the applicant. 

(C) The reference form requires the 

individual evaluating the applicant to 

state the evaluating individual's 

profession, knowledge of the 

applicant and information concerning 

the applicant's engineering 

(D) 

experience, character and reputation. 

The Board shall provide the reference 

forms shall be received by to the 

applicant with the application. The 

reference forms shall then be 

distributed by the applicant to the 

persons listed on the application as 

references. The applicant shall see 

that the individuals listed as 

references return the reference forms 

to the Board prior to the filing 

deadline for the examination. 

(d) Fees: 

(1) Engineering Intern Form. The examination 

fee for applicants applying for examination on 

the fundamentals of engineering using the 

engineering intern form is payable with the 

filing of the application. Once the applicant 

passes the examination on the fundamentals of 

engineering, the application fee of one 

hundred dollars ($100.00) and the examination 

fee for the principles and practice of 

engineering examination are payable with the 

applicant's subsequent application for licensure 

as a Professional Engineer using the 

Professional Engineer form. 

(2) Professional Engineer Form. The application 

fee of one hundred dollars ($100.00) and 

appropriate examination fee for applicants 

applying for the examination on the 

fundamentals of engineering or the principles 

and practice of engineering using the 

Professional Engineer form are payable with 

the filing of the application. 

(3) Comity. The licensure fee of one hundred 

dollars ($100.00) is payable with the filing of 

the application. 

(4) Examination. The examination fee for any 

applicant is payable with the filing of the 

application in accordance with G.S. 89C-14. 

(e) The Board shall accept the records maintained by the 

National Council of Examiners for Engineering and Surveying 

(NCEES) as evidence of licensure in another state. For comity 

licensure the NCEES record shall be accepted in lieu of 

completing the experience, education and references sections of 

the application. A comity application, with or without a NCEES 

record, shall be administratively approved by the Executive 

Director based upon evidence of current licensure in another 

jurisdiction based on comparable qualifications, required 

references and no record of disciplinary action, without waiting 

for the next regular meeting of the Board at which time the 

action shall be reported to the Board for final approval. 

(f) Model Law Engineer. The term "Model Law Engineer" 

refers to a person who meets the requirements of section .0500 

by meeting the requirements of NCEES and has a current 

NCEES record on file and is designated as a "Model Law 

Engineer." A "Model Law Engineer" application is shall be 

administratively approved by the Executive Director based upon 

the designation, without waiting for the next regular meeting of 

the Board at which time the action shall be reported to the Board 

for final approval. 

(g) Personal interview. During the application process, the 

applicant may be interviewed by the Board members. The 

purpose of the interview is to augment the evidence submitted in 

an application with regard to education and experience. 

Authority G.S. 89C-10; 89C-13; 89C-14. 

21 NCAC 56 .0503 EXAMINATIONS 

(a) Fundamentals of Engineering. This eight-hour written 

examination is designed primarily to test the applicant's 

proficiency and knowledge of the fundamentals of engineering. 

(b) Principles and Practice of Engineering. This eight-hour 

written examination is designed to test the applicant's 

proficiency and knowledge of engineering principles and 

practices. 

(c) Examination Aids. Examinees may utilize examination aids 

as specified by the exam preparer. 

(d) Preparation of Examination. The examinations in the 

fundamentals of engineering and in the principles and practice of 

engineering are national examinations promulgated provided by 


763


the National Council of Examiners for Engineering and 

Surveying (NCEES) of which the Board is a member. 

(e) Examination Sequence. Before the applicant is permitted to 

be examined on the principles and practice of engineering, the 

applicant must pass the examination on the fundamentals of 

engineering, unless the applicant can evidence 20 years of 

progressive engineering experience and receives a waiver from 

the fundamentals of engineering exam by the Board. In no event 

is an applicant allowed to take both examinations at the same 

time or at the same scheduled examination date. 

(f) Examination Filing Deadline. The applicant who wishes to 

take an examination must have the completed application (which 

includes all necessary references, transcripts, and verifications) 

in the Board office prior to August 1 for Fall examinations and 

January 2 for Spring examinations. 

(g) Seating Notice. After approval of an application to take 

either the examination on the fundamentals of engineering or 

principles and practice, the applicant shall be sent a seating 

notice by the Board. notice. This notice shall inform the 

applicant of the date, time and location of the examination and 

the seat number assigned. 

(h) Unexcused Absences. After a seating notice has been issued 

for a scheduled examination by the Board, and the applicant fails 

to appear, that applicant's record will shall reflect "unexcused 

absence" unless the absence was for official jury duty or the 

applicant was not physically able to be present, as indicated by a 

doctor's certificate. The examination fee is forfeited. 

(i) Re-Examination. A person who has failed an examination 

may apply to take the examination again at the next regularly 

scheduled examination period by making written request and 

submitting the required exam fee. A person having a combined 

record of three failures or unexcused absences shall is only be 

eligible after submitting a new application with appropriate 

application fee, and shall be considered by the Board for 

reexamination at the end of 12 months. After the end of the 12- 

month period, the applicant may take the examination no more 

than once every calendar year. The applicant must demonstrate 

to the Board that actions have been taken to improve the 

applicant's chances for passing the exam. 

(j) Special Accommodation. An applicant with a diagnosed 

disability may make a written request, before the application 

deadline, for special accommodation for the exam. Reasonable 

accomodation accommodation will shall be granted. granted 

based upon meeting the Guidelines for Requesting Religious and 

ADA Accommodations published by the National Council of 

Examiners for Engineering and Surveying (NCEES). 

(k) Exam Results. Exam results shall be supplied in writing as 

pass or fail. No results will be given in any other manner. 

(l) Review of Failed Exams. An applicant who fails to make a 

passing score on an exam may request in writing within 30 days 

of receiving the result to have an opportunity to review the 

exam. The review shall be done in the Board office under 

supervision of staff and is limited on one hour will receive an 

exam analysis. 

Authority G.S. 89C-10; 89C-13; 89C-14; 89C-15. 

21 NCAC 56 .0505 EXPIRATIONS AND 

RENEWALS OF CERTIFICATES 

(a) Professional Engineer Licensure. An annual renewal fee of 

fifty sixty dollars ($50.00)($60.00) for certificates of licensure 

for Professional Engineers shall be payable to the Board. A late 

fee shall be applied in accordance with G.S. 89C-17. The Board 

shall send to each licensed Professional Engineer a form which 

requires the licensee to provide the Board with both the business 

and residential addresses, and the professional development 

hours (PDH) obtained during the previous year. The licensee 

shall give notice to the Board of a change of business or 

residential address within 30 days of the change. 

(b) Engineering Intern Certificate. The Engineering Intern 

certificate does not expire and, therefore, does not have to be 

renewed. 


SECTION .0600 - PROFESSIONAL LAND SURVEYOR 

21 NCAC 56 .0602 APPLICATION PROCEDURE: 

INDIVIDUAL 

(a) General. A person desiring to become a Professional Land 

Surveyor must make application to the Board on a form 

prescribed and furnished by the Board. 

(b) Request. A request for the application form may be made 

atto the Board address.office or obtained from the website. 

(c) Application Form. All persons applying to be licensed as a 

Professional Land Surveyor shall apply using the standard 

application form. This form requires the applicant to set forth 

personal background, plus educational background, land 

surveying experience, and references. A passport-type 

photographic quality portrait that shall be adequate for current 

clear identification purposes shall be required also. 

(d) Supplemental Form. Persons who initially applied for 

licensure as a land surveyor, but were not eligible initially to be 

admitted to the examination for principles and practice of land 

surveying, must supplement their initial applications upon 

ultimately applying for the second examination. The applicant 

must supplement the initial application by using the 

supplemental form, which requires the listing of land surveying 

experience from the date of the initial application to the date of 

the supplemental application. Five references shall be submitted 

which are current to within one year of the examination date. 

(e) Reference Forms: 

(1) Persons applying to take the examination for 

the fundamentals of land surveying or the 

examination for principles and practice must 

submit to the Board names of individuals who 

are familiar with the applicant's work, 

character and reputation. The names are 

submitted by the applicant on the application 

form. 

(2) Persons applying for the fundamentals of land 

surveying examination must submit three 

references, one of which must be a 

Professional Land Surveyor. Persons applying 

for the principles and practice examination 


764


must submit five references, two of which 

must be Professional Land Surveyors. 

(3) In addition to the applicant submitting names 

to the Board of such individuals, those 

individuals shall submit to the Board their 

evaluations of the applicant on reference forms 

supplied them by the applicant. 

(4) The reference form requires the individual 

evaluating the applicant to state the evaluating 

individual's profession, knowledge of the 

applicant and information concerning the 

applicant's land surveying experience, 

character and reputation. 

(5) The reference forms shall be received by the 

applicant along with the application for 

licensure. The reference forms shall then be 

distributed by the applicant to the persons 

listed on the application as references. The 

applicant shall see that the individuals listed as 

references return the forms to the Board prior 

to the filing deadline for the examination 

applied for by the applicant. 

(f) Fees: 

(1) Regular. The application fee of one hundred 

dollars ($100.00) and appropriate examination 

fee for those applying for licensure based upon 

examination, experience, character and exhibit 

are payable with the filing of the application. 

(2) Comity. The licensure fee of one hundred 

dollars ($100.00) and appropriate examination 

fee for those applying for licensure based upon 

comity are payable with the filing of the 

application. 

(3) Examination. The examination fee for any 

applicant shall be payable with the filing of the 

application in accordance with G.S. 89C-14. 

(g) The Board shall accept the records maintained by the 

National Council of Examiners for Engineering and Surveying 

(NCEES) as evidence of licensure in another state. For comity 

licensure the NCEES record shall be accepted in lieu of 

completing the experience, education and references sections of 

the application. A comity application, with or without a NCEES 

record, shall be administratively approved by the Executive 

Director based upon evidence of current licensure in another 

jurisdiction based on comparable qualifications, required 

referencesreferences, and having passed the two-hour North 

Carolina portion of the exam and no record of disciplinary 

action, without waiting for the next regular meeting of the Board 

at which time the action shall be reported to the Board for final 

approval. 

(h) Personal Interview. During the application process, the 

applicant may be interviewed by Board members. The purpose 

of the interview shall be to augment the evidence submitted in an 

application with regard to education and experience. 


21 NCAC 56 .0603 EXAMINATIONS 

(a) Fundamentals of Land Surveying. This eight-hour written 

examination is designed primarily to test the applicant's 

proficiency and knowledge of the fundamentals of land 

surveying. Reference to Fundamentals of Surveying is the 

revised name of the national exam that is the Fundamentals of 

Land Surveying in G.S. 89C. 

(b) Principles and Practice of Land Surveying. This eight-hour 

written examination is designed to test the applicant's 

proficiency and knowledge of land surveying practices and 

procedures generally and specifically within North Carolina. 

(c) Examination Aids. Examinees may utilize examination aids 

as specified by the national exam preparer. 

(d) Preparation of Examination. The examination in the 

fundamentals of land surveying and six hours of the examination 

in the principles and practice of land surveying are national 

examinations promulgatedprovided by the National Council of 

Examiners for Engineering and Surveying (NCEES) of which 

the Board is a member. member or other examinations as 

adopted by the Board. The two-hour North Carolina portion of 

the principles and practice of land surveying examination is 

prepared and gradedprovided by the Board. 

(e) Examination Filing Deadline. The applicant who wishes to 

take an examination must have the completed application (which 

includes all necessary references, transcripts, and verifications) 

in the Board office prior to August 1 for Fall examinations and 

January 2 for Spring examinations. 

(f) Seating Notice. After approval of an application the 

applicant willshall receivebe sent a seating notice. This notice 

willshall inform the applicant of the date, time and location of 

the examination and the seat number assigned. 

(g) Unexcused Absences. After a seating notice for a scheduled 

examination has been issued by the Board,issued, and the 

applicant fails to appear, the applicant's record will shall reflect 

"unexcused absence" unless the absence was for official jury 

duty or the applicant was not physically able to be present, as 

indicated by a doctor's certificate. The examination fee is 

forfeited. 

(h) Re-Examination. A person who has failed an examination is 

allowed to may apply to take the examination again at the next 

regularly scheduled examination period. A person having a 

combined record of three failures or unexcused absences shall is 

only be eligible after submitting a new application with 

appropriate application fee, and shall be considered by the Board 

for re-examination at the end of 12 months. After the end of the 

12-month period, the applicant may take the examination no 

more than once every calendar year. The applicant must 

demonstrate to the Board that actions have been taken to 

improve the applicant's chances for passing the exam. 

(i) Special Accommodation. An applicant with a diagnosed 

disability may make a written request, before the application 

deadline, for special accommodation for the exam. Reasonable 

accomodation accommodation will shall be granted. granted 

based upon meeting the Guidelines for Requesting Religious and 

ADA Accommodations published by the National Council of 

Examiners for Engineering and Surveying (NCEES). 

(j) Exam Results. Exam results shall be supplied in writing as 

pass or fail. No results will shall be given in any other manner. 


765


(k) Review of Failed Exams. An applicant who fails to make a 

passing score on an the two-hour North Carolina portion of the 

exam may request in writing within thirty (30) days of receiving 

the result to have an opportunity to review the that portion of the 

exam. The review shall be done in the Board Office under 

supervision of staff and is limited to one hour. 


21 NCAC 56 .0606 EXPIRATIONS AND 

RENEWALS OF CERTIFICATES 

(a) Professional Land Surveyor Licensure. An annual renewal 

fee of fifty sixty dollars ($50.00)($60.00) for certificates of 

licensure for Professional Land Surveyors shall be is payable to 

the Board. A late fee shall be applied in accordance with G.S. 

89C-17. The Board will send shall provide each Professional 

Land Surveyor a form which requires the licensee to provide to 

the Board the business and residential addresses, and the 

professional development hours (PDH) obtained during the 

previous year. The licensee shall give notice to the Board of a 

change of business or residential address within 30 days of the 

change. 

(b) Surveyor Intern Certificate. The surveyor intern certificate 

does not expire and, therefore, does not have to be renewed. 


SECTION .0700 – RULES OF PROFESSIONAL 

CONDUCT 

21 NCAC 56 .0701 RULES OF PROFESSIONAL 

CONDUCT 

(a) In order to safeguard the life, health, property and welfare of 

the public and to establish and maintain a high standard of 

integrity, skills, and practice in the professions of engineering 

and land surveying, the following Rules of professional conduct 

in this Rule are promulgated in accordance with G..S. 89C-20 

and shall be are binding upon every person holding a certificate 

of licensure as a Professional Engineer or Professional Land 

Surveyor (licensee), and on all business entities authorized to 

offer or perform engineering or land surveying services in this 

state. All persons licensed under the provisions of Chapter 89C 

of the General Statutes are charged with having knowledge of 

the existence of the rules of professional conduct, Board Rules, 

including the Rules of professional conduct, and shall be are 

deemed to be familiar with their several provisions and to 

understand them. 

(b) The licensee shall conduct the practice in order to protect the 

public health, safety and welfare. The licensee shall at all times 

recognize the primary obligation to protect the public in the 

performance of the professional duties. If the licensee's 

engineering or land surveying judgment is overruled under 

circumstances where the safety, health and welfare of the public 

are endangered, the licensee shall inform the employer, the 

client, the contractorcontractor, other affected parties and the any 

appropriate regulatory agency of the possible consequences of 

the situation. 

(c) The licensee shall perform services only in areas of the 

licensee's competence and: 

(1) Shall undertake to perform engineering and 

land surveying assignments only when 

qualified by education or experience in the 

specific technical field of professional 

engineering or land surveying involved. 

(2) May accept an assignment or project requiring 

education or experience outside of the 

licensee's own field of competence, but only to 

the extent that the services are restricted to 

those portions or disciplines of the project in 

which the licensee is qualified. All other 

portions or disciplines of such project shall be 

performed by associates, consultants, or 

employees who are licensed and competent in 

those portions or disciplines. 

(3) Shall not affix the signature or seal to any 

engineering or land surveying plan or 

document dealing with subject matter for 

which the licensee lacks competence by virtue 

of education or experience, nor to any such 

plan or document not prepared under the 

licensee's direct supervisory control. Direct 

supervisory control (responsible charge) 

requires a licensee or employee to carry out all 

client contacts, provide internal and external 

financial control, oversee employee training, 

and exercise control and supervision over all 

job requirements to include research, planning, 

design, field supervision and work product 

review. Direct supervisory control may be 

accomplished face to face or by other means of 

communication. A licensee shall not contract 

with a non-licensed individual to provide these 

professional services. Research, such as title 

searches and soil testing, may be contracted to 

a non-licensed individual, provided that 

individual is qualified or licensed to provide 

such service and provided the licensee reviews 

the work. The licensee may affix the seal and 

signature to drawings and documents depicting 

the work of two or more professionals 

provided it is designated by a note under the 

seal the specific subject matter for which each 

is responsible. 

(d) The licensee shall issue public statements only in an 

objective and truthful manner and: 

(1) Shall be objective and truthful in all 

professional reports, statements or testimony. 

The licensee shall include all relevant and 

pertinent information in such reports, 

statements or testimony. 

(2) When serving as an expert or technical witness 

before any court, commission, or other 

tribunal, shall express an opinion only when it 

is founded upon adequate knowledge of the 

facts in issue, upon a background of technical 

competence in the subject matter, and upon 

honest conviction of the accuracy and 

propriety of the licensee's testimony. 


766


(3) Shall issue no statements, criticisms, or 

arguments on engineering or land surveying 

matters connected with public policy which 

are inspired or paid for by an interested party, 

or parties, unless the licensee has prefaced the 

comment by explicitly identifying the 

licensee's name, by disclosing the identities of 

the party or parties on whose behalf the 

licensee is speaking, and by revealing the 

existence of any pecuniary interest the licensee 

may have in the instant matters. 

(4) Shall not attempt to injure, maliciously or 

falsely, directly or indirectly, the professional 

reputation, prospects, practice or employment 

of another engineer or land surveyor, nor 

indiscriminately criticize another engineer or 

land surveyor's work in public. Indiscriminate 

criticism includes statements without valid 

basis or cause or that are not objective and 

truthful or that fail to include all relevant and 

pertinent information. If the licensee believes 

that another engineer or land surveyor is guilty 

of misconduct or illegal practice, such 

information shall be presented to the North 

Carolina Board of Examiners.Examiners in the 

form of a complaint. 

(e) The licensee shall avoid conflicts of interest and: 

(1) Shall promptly inform the employer or client 

client, and any reviewing agency agency, of 

any business association, interests, or 

circumstances which could influence judgment 

or the quality of services. 

(2) Shall not accept compensation, financial or 

otherwise, from more than one party for 

services on the same project, or for services 

pertaining to the same project, unless the 

circumstances are fully disclosed to, and 

agreed to, in writing, by all interested parties. 

(3) Shall not solicit or accept financial or other 

valuable considerations from material or 

equipment suppliers for specifying their 

products. 

(4) Shall not solicit or accept gratuities, directly or 

indirectly, from contractors, their agents, or 

other parties dealing with the client or 

employer in connection with work for which 

the licensee is responsible. 

(5) When in public service as a member, advisor, 

or employee of a governmental body or 

department, shall not participate in 

considerations or actions with respect to 

services provided by the licensee or the 

licensee's organization in private engineering 

and land surveying practices. 

(6) Shall not solicit or accept an engineering or 

land surveying contract from a governmental 

body on which a principal or officer of the 

licensee's organization serves as a member. 

(7) Shall not attempt to supplant another engineer 

or land surveyor in a particular employment 

after becoming aware that the other has been 

selected for the employment. 

(f) The licensee shall solicit or accept work only on the basis of 

qualifications and: 

(1) Shall not offer to pay, either directly or 

indirectly, any commission, political 

contribution, gift, or other consideration in 

order to secure work, exclusive of securing 

salaried positions through employment 

agencies. 

(2) Shall compete for employment on the basis of 

professional qualification and competence to 

perform the work. The licensee shall not 

solicit or submit proposals for professional 

services containing a false, fraudulent, 

misleading, deceptive or unfair statement or 

claim regarding the cost, quality or extent of 

services to be rendered. 

(3) Shall, with regard to fee bidding on public 

projects, comply with the provisions of G.S. 

143-64.31 et seq., (or for federal projects, the 

Brooks Act, 40 U.S. Code 541 et seq.) and 

shall not knowingly cooperate in a violation of 

any provision of G.S. 143-64.31 et seq. (or of 

40 U.S. Code 541 et seq.) 

(4) Shall not falsify or permit misrepresentation of 

academic or professional qualifications and 

shall only report educational qualifications 

when a degree or certificate was awarded, 

unless it is clearly stated that no degree or 

certificate was awarded. The licensee shall not 

misrepresent degree of responsibility in or for 

the subject matter of prior assignments. 

Brochures or other presentations incident to 

the solicitation of employment shall not 

misrepresent pertinent facts concerning 

employers, employees, associates, joint 

ventures, or past accomplishments with the 

intent and purpose of enhancing qualifications 

and work. 

(g) The Licensee shall perform services in an ethical and lawful 

manner and: 

(1) Shall not knowingly associate with or permit 

the use of the licensee's name or firm name in 

a business venture by any person or firm 

which the licensee knows, or has reason to 

believe, is engaging in business or professional 

practices of a fraudulent or dishonest nature or 

is not properly licensed. 

(2) If the licensee has knowledge or reason to 

believe that another person or firm may be in 

violation of any of these provisions the Board 

Rules (Title 21 NCAC Chapter 56) or of the 

North Carolina Engineering and Land 

Surveying Act, Act (G.S. 89C), shall present 

such information to the Board in writing in the 

form of a complaint and shall cooperate with 


767


the Board in furnishing such further 

information or assistance as may be required 

by the Board. The licensee shall timely 

respond to all inquiries and correspondence 

from the Board and shall timely claim 

correspondence from the U. S. Postal Service, 

or other delivery service, sent to the licensee 

from the Board. Timely is defined as within 

the time specified in the correspondence, or if 

no time is specified, within 30 days of receipt. 

Certified mail is timely claimed if prior to 

being returned by the Post Office to the Board 

office. 

(h) A Professional Engineer or Professional Land Surveyor who 

has received a reprimand or civil penalty or whose professional 

license is revoked, suspended, denied, or surrendered as a result 

of disciplinary action by another jurisdiction shall be is subject 

to discipline by the Board if the licensee's action constitutes a 

violation of G.S. 89C or the rules adopted by the Board. 


SECTION .0800 - FIRM REGISTRATION 

21 NCAC 56 .0802 PROCEDURE 

(a) Professional Corporations and Limited Liability Companies: 

(1) Request. A request for an application for 

licensure as a professional corporation or 

professional limited liability company engaged 

in the practice of engineering or land 

surveying may be made at the Board 

address.office or obtained from the website. 

(2) Applicable Form. All professional 

corporations and professional limited liability 

companies complying with the statutory 

requirements of G.S. 89C, G.S. 55B and G.S. 

57C which desire to practice engineering or 

land surveying shall apply by using a form 

prepared by the Board. This form shall require 

requires the applicant, by and through an 

officer, director and shareholder of the 

professional corporation or limited liability 

company who is currently licensed with the 

North Carolina Board of Examiners for 

Engineers and Surveyors in the field(s) of 

professional services to be offered, to certify 

that it and the stockholders of the corporation 

or members of the limited liability company 

have complied with the provisions of the 

applicable provisions of the General Statutes 

and requires that the officers, directors, 

shareholders, members and professional 

employees be listed on that application. 

(3) Certificate of Licensure: 

(A) Upon receiving the application with 

application fee of one hundred dollars 

($100.00), the Board, after 

determining that the firm has 

complied with the statutory 

requirements, will then shall issue a 

certificate of compliance. 

(B) The firm, then, firm must forward the 

certificate of compliance to the 

Secretary of State along with its 

articles of incorporation or articles of 

organization. 

(C) Upon approval by the Secretary of 

State, the firm then must forward to 

the Board a certified copy of its 

articles of incorporation or articles of 

organization. 

(D) Upon receipt of the certified copy of 

the articles of the firm, if all statutory 

requirements have been met, the 

Board will shall approve the 

application and issue the firm a 

certificate of licensure. 

(b) Business Firms and Chapter 87 Corporations: 

(1) Request. A request for an application for 

licensure as a business firm or Chapter 87 

corporation [as defined in G.S. 55B-15(a)(2)] 

engaged in the practice of engineering or land 

surveying may be made at the Board address. 

office or obtained from the website. A sole 

proprietorship owned and operated by the 

individual licensee in the licensee's name as 

reflected in the Board's records is exempt from 

firm licensure. 

(2) Applicable Form. All business firms or 

Chapter 87 corporations that desire to practice 

engineering or land surveying shall apply by 

using a form prepared by the Board. The form 

shall require requires the applicant, through a 

principal officer, partner or owner, to certify 

that the business firm shall will be operated in 

compliance with the laws of the State of North 

Carolina and the rules Rules of the North 

Carolina Board of Examiners for Engineers 

and Surveyors. 

(3) Certificate of Licensure. Upon receiving the 

application with application fee of one 

hundred dollars ($100.00), the Board, after 

determining that the firm has complied with 

the statutory requirements, shall then issue a 

certificate of licensure. 

Authority G.S. 55B-4; 55B-10; 57C-2.01; 89C-10; 89C-24. 

21 NCAC 56 .0804 ANNUAL RENEWAL 

(a) Renewal. The certificate of licensure for a business entity, 

including a professional corporation, limited liability company, 

Chapter 87 corporation, or business firm shall be renewed 

annually. 

(b) Expiration. The certificate of licensure shall expire expires 

on the last day of June following its issuance by the Board and 

shall become becomes invalid on that date unless renewed. 

(c) Written Application. Upon written application on a renewal 

form prescribed by the Board accompanied by the prescribed fee 


768


of fifty sixty dollars ($50.00)($60.00) the Board shall renew the 

certificate of licensure providing that the firm has complied with 

all Rules of the Board and applicable General Statutes of North 

Carolina. The form shall be mailed to all licensees in good 

standing no later than June 1st. A late fee shall be applied in 

accordance with G.S. 89C-17. The licensed entity shall give 

notice to the Board of a change of business address within 30 

days of the change. 

(d) Failure of If a firm fails to renew its certificate of licensure 

within one year of the expiration date date, shall require the firm 

to shall submit a new application for a new certificate of 

licensure in accordance with all requirements of these Rules and 

of all applicable statutes. 21 NCAC 56 .0802. 

Authority G.S. 55B-11; 57C-2-01; 89C-10; 89C-14; 89C-17; 

89C-24. 

SECTION .1100 - SEAL 

21 NCAC 56 .1102 DESIGN 

The standard design of the seal shall be two concentric circles in 

which North Carolina and the name of the licensee are placed 

within the outermost circle and in which the license number of 

the licensee and either "Professional Engineer" or "Professional 

Land Surveyor," is placed within the innermost circle. The size 

shall be approximately 1 ¾1 ½ to 1 3/4 inches in diameter. 


21 NCAC 56 .1103 STANDARD CERTIFICATION 

REQUIREMENTS 

(a) Certification of Final Drawings. Drawings or maps not 

conforming to paragraph (c) of this subsection Rule shall 

conform to the following: 

(1) Certification is required on reproducibles or 

original drawings; 

(2) The seal may be a rubber stamp, embossed 

seal, computer-generated seal, or other 

facsimile that becomes a permanent addition to 

a plan sheet or map; 

(3) The licensee's written signature must be placed 

over, or near, adjacent to, the seal on the 

original document. A facsimile signature is 

not acceptable; 

(4) The date of signing must be annotated on the 

original document; 

(5) All sheets of engineering and surveying 

drawings must be sealed; certified; 

(6) The name and name, address and license 

number of the licensee's firm shall be included 

on each sheet of engineering drawings. For 

surveys, the licensee's name andname, address 

and licensee number of the licensee's firm 

shall be included on the first sheet of the 

survey or title sheet; and 

(7) Any revision on a drawing after a licensee's 

certification is affixed shall be noteddescribed 

and dated and if not done under the 

responsible charge of the same licensee shall 

be separately certified. 

(b) Certification of Specifications and Reports. All 

specifications, reports, or other documents, including letter 

reports and calculations, not conforming to paragraph (c) of this 

subsection Rule shall conform to the following: 

(1) Certification is required on original 

specifications, reports, or other documents, 

including letter reports and calculations; 

(2) The seal may be a rubber stamp, or other 

facsimile; 

(3) The licensee's written signature must be placed 

over, or near, adjacent to, the seal on the 

original document. A facsimile signature is 

not acceptable; 

(4) The date of signing must be annotated on the 

original document; 

(5) The title sheet of engineering specifications or 

other reports must be sealedcertified and bear 

the name name, and address and license 

number of the licensee's firm. The title sheet 

of any survey report or written description of 

property shall include the namename, and 

address and license number of the Professional 

Land Surveyor; licensee's firm; and 

(6) Any revision in the document after a licensee's 

certification is affixed shall be noteddescribed 

and dated and if not done under the 

responsible charge of the same licensee shall 

be separately certified. 

(c) Exceptions to Required Certification. The sealcertification 

of a licensee on a map, drawing, plan, specification, plat, 

document, or report shall signify that it is the final work of the 

licensee unless the work is stamped or clearly marked 

substantially as follows so as to put the public on notice not to 

use as a final product, in which case certification is optional: 

(1) "Preliminary - Do not use for construction"; 

(2) "Progress Drawings - Do not use for 

construction"; 

(3) "Preliminary Plat - Not for recordation, 

conveyances, or sales"; 

(4) "Final Drawing - Not released for 

construction"; 

(5) "Final Drawing - For Review Purposes Only"; 

(6) "Not a Certified Document – This document 

originally issued and sealed by (name of 

licensee), (license number), on (date of 

sealing). This document shall not be 

considered a certified document"; 

(7) "Not a Certified Document as to the Original 

Document but Only as to the Revisions - This 

document originally issued and sealed by 

(name of licensee), (license number), on (date 

of sealing). This document is only certified as 

to the revisions". 

(d) Electronically transmitted Transmitted documents. 

Documents. Documents, including drawings, specifications and 

reports, that are transmitted electronically to a client or a 

governmental agencybeyond the direct control of the licensee 


769


shall have the computer-generated seal removed from the 

original file, unless signed with a digital signature as defined in 

paragraph (e). After removal of the seal the electronic media 

shall have the following inserted in lieu of the signature and 

date: This "This document originally issued and sealed by 

(name of sealer), (license number), on (Date of sealing). This 

medium shall not be considered a certified document. 

document." Hardcopy documents containing the original seal, 

signature and date of the licensee may be duplicated by 

photocopy or electronic scanning processes and distributed 

either in hardcopy or electronic medium. The scanned digital 

files of properly certified documents are not subject to the 

requirements of this paragraph. The electronic transmission 

beyond the direct control of the licensee of CAD, vector or other 

files subject to easy editing are subject to the requirements of 

this paragraph. Easy editing is based on the file consisting of 

separate elements that can be individually modified or deleted. 

Documents that are excepted from certification by a statement 

meeting the requirements of Subparagraphs (c)(1) through (c)(5) 

of this Rule are not subject to the requirements of this Paragraph. 

(e) Documents to be electronically transmitted beyond the direct 

control of the licensee that are signed using a digital signature, 

shall contain the authentication procedure in a secure mode and 

a list of the hardware, software and parameters used to prepare 

the document(s). Secure mode means that the authentication 

procedure has protective measures to prevent alteration or 

overriding of the authentication procedure. The term "digital 

signature" shall be an electronic authentication process that is 

attached to or logically associated with an electronic document. 

The digital signature shall be: 

(1) Unique to the licensee using it; 

(2) Capable of verification; 

(3) Under the sole control of the licensee; and 

(4) Linked to a document in such a manner that 

the digital signature is invalidated if any data 

in the document is changed. 

(f) A digital signature process may be submitted to the Board 

for approval that it meets the criteria set forth in Subparagraphs 

(e)(1) through (4) of this Rule. The licensee shall confirm that if 

another process is used, that it meets the criteria. 


21 NCAC 56 .1106 CERTIFICATION OF 

STANDARD DESIGN PLANS 

Standard design plans that were initially prepared and 

sealedcertified by an individual who is a licensed engineer in the 

state of origin of such plans (including North Carolina) may then 

be reviewed by a North Carolina Professional Engineer for code 

conformance, design adequacy, and site adaptation for the 

specific application within North Carolina. The reviewing 

Professional Engineer who is licensed in North Carolina 

assumes responsibility for such standard designs. Standard 

plans, which bear the seal of an individual the original design 

engineer who is a licensed engineer in another state, or North 

Carolina, shall be sealed by the reviewing North Carolina 

Professional Engineer who is assuming responsibility. In 

addition to the seal, a statement shall be included as follows: 

"These plans have been properly examined by the undersigned. 

I have determined that they comply with existing local North 

Carolina codes, and have been properly site adapted for use in 

this area." 


SECTION .1300 – BOARD DISCIPLINARY 

PROCEDURES 

21 NCAC 56 .1301 IMPROPER PRACTICE BY A 

LICENSEE 

(a) General. Alleged improper practice that may violate the 

Board Rules 21 NCAC 56 or G.S. 89C by a licensee shall be is 

subject to Board investigation and disciplinary action by the 

Board if necessary. 

(b) Preferring Charges. Any person who believes that any 

licensed Professional Engineer, Professional Land Surveyor or 

firm holding a certificate of authorization is in violation of the 

provisions of G.S. 89C or the rules in this Chapter may prefer 

charges against that person or firm by setting forth in writing 

those charges and swearing to their authenticity, along with 

providing corroborative evidence. The charges shall be filed 

atwith the Board's office in Raleigh, North Carolina. 

(c) Preliminary Review: 

(1) Upon receipt of a properly filed charge, an 

investigation shall be initiated. a case shall be 

opened. 

(2) A written notice and explanation of the charge 

shall be forwarded to the person or firm 

against whom the charge is made and a 

response is requested of the person or firm so 

charged to show compliance with all lawful 

requirements for retention of the license. 

Notice of the charge and of the alleged facts or 

alleged conduct shall be given personally or by 

certified mail, return receipt requested. 

(3)(2) In the discretion of the executive director, a A 

field investigation may be performed. 

performed if determined necessary by the 

Executive Director. 

(3) If the executive director determines that the 

charges are corrobated by evidence, a written 

notice and explanation of the charge shall be 

forwarded to the person or firm against whom 

the charge is made and a response is requested 

of the person or firm so charged to show 

compliance with all lawful requirements for 

retention of the license. Notice of the charge 

and of the alleged facts or alleged conduct 

shall be given personally or by certified mail, 

return receipt request. 

(4) After preliminary evidence has been obtained, 

the matter shall be referred to the Board's 

review committee which is made up of the 

following individuals: 

(A) one member of the Board who is 

licensed in the respective profession, 

(B) the legal counsel of the Board, and 

(C) the executive director of the Board. 


770


(5) Upon review of the available evidence, the 

review committee shall present to the Board a 

written recommendation that: 

(A) the charge be dismissed as unfounded 

or trivial; 

(B) when the charge is admitted as true, 

the Board accept the admission of 

guilt by the person charged and order 

that person not to commit in the 

future the specific act or acts admitted 

and also not to violate any of the 

provisions of the Board Rules or the 

statutes at any time in the future; 

(C) the charge, whether admitted or 

denied, be presented to the full Board 

for a hearing and determination by 

the Board on the merits of the charge 

in accordance with the substantive 

and procedural requirements of the 

provisions of Section .1400 of this 

Chapter and the provisions of G.S. 

(D) 

150B; or 

whether the charge is admitted or 

denied, the Board give notice to the 

licensee of a contemplated action as 

set out in Rule .1403(b) of this 

Chapter. 

(d) Consultant. A consultant to the review committee shall be 

designated by the Board Chair if a current board member is a 

complainant, witness or respondent in a case. The consultant 

shall be a currently licensed professional engineer or 

professional land surveyor, depending on the nature of the case, 

and selected from a list provided by the executive director of 

former Board members or other licensed professionals who are 

knowledgeable with the Board's processes and have expressed 

an interest in serving as a consultant.processes. The consultant 

shall review all case materials and make a recommendation for 

consideration by the review committee as to the merits of the 

case. The consultant shall review any new information 

presented in the event of a settlement conference and make a 

recommendation to the settlement conference committee. 

(e) Board Decision. Notice of the decision by the Board on 

recommendations of the review committee shall be given to the 

party against whom the charges have been brought and the party 

submitting the charge. Though it is not forbidden to do so, the 

Board is not required to notify the parties of the reasons of the 

Board in making its determination. 

(f) Settlement Conference. When the Board issues a citation for 

hearing or notice of a contemplated action, the licensee may 

request in writing a settlement conference to pursue resolution of 

the issue(s) through informal procedures. If, after the 

completion of a settlement conference, the licensee and Board's 

settlement committee do not agree to a resolution of the dispute 

for the full Board's consideration, the original administrative 

proceeding shall commence. During the course of the settlement 

conference, no sworn testimony shall be taken nor shall any 

witnesses be cross-examined: 

(1) The Board's settlement committee shall be 

made up of the following individuals: 

(A) the member of the Board who served 

on the review committee or the 

replacement if no longer a member of 

the Board, not available, 

(B) one public member from the Board, 

(C) the legal counsel of the Board, and 

(D) the executive director of the Board. 

(2) Upon review of the available evidence, the 

settlement committee shall present to the 

Board a written recommendation that: 

(A) the charge be dismissed as unfounded 

or trivial; 

(B) when the charge is admitted as true, 

the Board accept the admission of 

guilt by the person charged and order 

the person not to commit in the future 

the specific act or acts admitted and, 

also, not to violate any provisions of 

the Board Rules or the statutes at any 

time in the future; 

(C) the charge, whether admitted or 

denied, be presented to the full Board 

for a hearing and determination by 

the Board on the merits of the charge 

in accordance with the substantive 

and procedural requirements of the 

provisions of Section .1400 of this 

Chapter and the provisions of G.S. 

150B; or 

(D) whether the charge is admitted or 

denied, the Board give notice to the 

licensee of a contemplated action as 

set out in Rule .1403(b) of this 

Chapter. 


SECTION .1400 - CONTESTED CASES 

21 NCAC 56 .1413 DECISION OF BOARD 

(a) Manner and Time of Rendering Decision. After a hearing 

has been completed the Board shall proceed to consider the case 

and as soon as practicable shall render their decision. The 

decision must be rendered within 90 days after the hearing. 

(b) Service of Written Decision. Within five working days after 

the decision is rendered theThe Board shall serve upon each 

party a written copy of the decision, either personally or by 

certified mail. If the decision is sent by certified mail it shall be 

deemed to have been served on the date borne on the return 

receipt. 

(c) Final Decision. The final decision of the Board shall be in 

the manner and form prescribed by G.S. 150B-42(a). 

(d) Official Record. The official record will shall be prepared in 

all contested cases in accordance with the requirements of G.S. 

150B-42(b). 

Authority G.S. 89C-10; 89C-21; 89C-22; 150B-42. 


771


SECTION .1600 – STANDARDS OF PRACTICE FOR 

LAND SURVEYING IN NORTH CAROLINA 

21 NCAC 56 .1602 SURVEYING PROCEDURES 

(a) A Professional Land Surveyor shall spend the necessary 

time and effort to make adequate investigation to determine if 

there are encroachments, gaps, lappages, or other irregularities 

along each line surveyed. Points may be placed on the line from 

nearby closed or verified traverses and the necessary 

investigations made from these points. If these investigations 

are not made, then the surveyor shall not certify to an actual 

survey of that line and the plat must contain the appropriate 

qualifications in accordance with the rules in this Section. 

(b) Any and all visible or determined encroachments or 

easements on the property being surveyed shall be accurately 

located and clearly indicated. 

(c) With respect to investigation of property boundaries and 

recorded easements, the surveyor shall, at a minimum, shall 

examine the most recent deeds and recorded plats adjacent to the 

subject property as well as all deeds and plats recorded after the 

date of the deed or plat upon which the survey is being based 

(the survey reference deed or plat). 

(d) Except as provided in Paragraph (e) of the Rule, metal 

stakes or materials of comparable permanence shall be placed at 

all corners. 

(e) Where a corner falls in a right-of-way, in a tree, in a stream, 

or on a fence post, boulder, stone, or similar object, one or more 

monuments or metal stakes shall be placed in the boundary line 

so that the inaccessible point may be located accurately on the 

ground and the map. 

(f) The results of a survey when shall be reported to the user of 

that survey as a map or report of survey and, whether in written 

or graphic form, shall be prepared in a clear and factual manner. 

All reference sources shall be identified. Artificial monuments 

called for in such reports shall be described as found or set. 

When no monument is found or set for points described in 

Paragraph (d)(e) of this Rule, that fact shall be noted. 

(g) Where the results of a survey are reported in the form of a 

plat or a written description, one or more corners shall, by a 

system of azimuths or courses and distances, be accurately tied 

to and coordinated with a horizontal control monument of some 

United States or State Agency survey system, such as the North 

Carolina Geodetic Survey, where such monument is within 2000 

feet of the subject property, right-of-way, easement or other 

surveyed entity. Where the North Carolina grid system 

coordinates of said monument are on file in the North Carolina 

Office of State Planning, the coordinates of both the referenced 

corner or point and the monument(s) shall be shown in X 

(easting) and Y (northing) coordinates on the plat or in the 

written description or document. The coordinates shall be 

identified as based on 'NAD 83', indicating North American 

Datum of 1983 or as 'NAD 27' indicating North American 

Datum of 1927. The tie lines to the monuments must be 

sufficient to establish true north or grid north bearings for the 

plat or description if the monuments exist in pairs. Control 

monuments within a previously recorded subdivision may be 

used in lieu of grid control. In the interest of bearing 

consistency with previously recorded plats, existing bearing 

control may be used where practical. In the absence of Grid 

Control, other natural or artificial monuments or landmarks shall 

be used. In all cases, the tie lines shall be sufficient to accurately 

reproduce the subject lands from the control or reference points 

used. 

(h) Area is to be computed by double meridian distance or 

equally accurate method and shown on the face of the plat, 

written description or other document. Area computations by 

estimation, by planimeter, by scale, or by copying from another 

source are not acceptable methods, except in the case of tracts 

containing inaccessible areas and in these areas the method of 

computation shall be clearly stated. 


21 NCAC 56 .1603 CLASSIFICATION OF 

BOUNDARY SURVEYS 

General. Boundary surveys are defined as surveys made to 

establish or to retrace a boundary line on the ground, or to obtain 

data for constructing a map or plat showing a boundary line. For 

the purpose of this Rule, the term refers to all surveys, including 

"loan" or "physical" surveys, which involve the determination or 

depiction of property lines. For the purpose of specifying 

minimum allowable surveying standards for boundary surveys, 

the following four general classifications of lands in North 

Carolina are established from the standpoint of their real value, 

tax value, or location. Each map shall contain a statement of the 

calculated ratio of precision before adjustements. adjustments or 

a statement of positional accuracy. Positional or partial accuracy 

may be used in addition to Ratio of Precision when a network of 

multiple traverse loops is used in the field and the network has 

been adjusted by the least squares method. 

(1) Local Control Network Surveys (Class AA). 

Local control network surveys are traverse 

networks utilizing permanent points for the 

purpose of establishing local horizontal control 

networks for future use of local surveyors. For 

Class AA boundary surveys in North Carolina, 

the angular error of closure shall not exceed 

ten seconds times the square root of the 

number of angles turned. The ratio of 

precision shall not exceed an error of closure 

of one foot per 20,000 feet of perimeter of the 

parcel of land (1:20,000). When using 

positional accuracy standards for Class AA 

control and boundary surveys, neither axis of 

the 95%95 percent confidence level error 

ellipse for any control point or property corner 

shall exceed 0.05 feet or 0.015 meters 

measured relative to the position(s) of the 

horizontal control points used and referenced 

on the survey. 

(2) Urban Land Surveys (Class A). Urban surveys 

include lands which normally lie within a town 

or city. For Class A boundary surveys in 

North Carolina, the angular error of closure 

shall not exceed 20 seconds times the square 

root of the number of angles turned. The ratio 

of precision shall not exceed an error of 

closure of one foot per 10,000 feet of 


772


perimeter of the parcel of land (1:10,000). 

When using positional accuracy standards for 

Class A control and boundary surveys, neither 

axis of the 95%95 percent confidence level 

error ellipse for any control point or property 

corner shall exceed 0.10 feet or 0.030 meters 

measured relative to the position(s) of the 

horizontal control points used and referenced 

on the survey. 

(3) Suburban Land Surveys (Class B). Suburban 

surveys include lands in or surrounding the 

urban properties of a town or city. For Class B 

boundary surveys in North Carolina, the 

angular error of closure shall not exceed 25 

seconds times the square root of the number of 

angles turned. The ratio of precision shall not 

exceed an error of closure of one foot per 

7,500 feet of perimeter of the parcel of land 

(1:7,500). When using positional accuracy 

standards for Class B control and boundary 

surveys, neither axis of the 95%95 percent 

confidence level error ellipse for any control 

point or property corner shall exceed 0.12 feet 

or 0.037 meters measured relative to the 

position(s) of the horizontal control points 

used and referenced on the survey. 

(4) Rural and Farmland Surveys (Class C). Rural 

and farmland surveys include lands located in 

rural areas of North Carolina and generally 

outside the suburban properties. For Class C 

boundary surveys in North Carolina, the 

angular error of closure shall not exceed 30 

seconds times the square root of the number of 

angles turned. The ratio of precision shall not 

exceed an error of closure of one foot per 

5,000 feet of perimeter of the parcel of land 

(1:5,000). When using positional accuracy 

standards for Class C control and boundary 

surveys, neither axis of the 95%95 percent 

confidence level error ellipse for any control 

point or property corner shall exceed 0.15 feet 

or 0.046 meters measured relative to the 

position(s) of the horizontal control points 

used and referenced on the survey. 


21 NCAC 56 .1604 MAPPING REQUIREMENTS 

FOR BOUNDARY SURVEYS 

(a) The size of a map shall be such that all details can be shown 

clearly. are legible on a copy. 

(b) Any lines that are not actually surveyed must be clearly 

indicated on the map and a statement included revealing the 

source of information from which the line is derived. 

(c) Any revision on a map after a surveyor's seal is affixed shall 

be noted and dated. 

(d)(c) All surveys based on the North Carolina grid system shall 

contain a statement identifying the coordinate system referenced 

datum used. 

(e)(d) All plats (maps), unless clearly marked as "Preliminary 

Plat - Not for recordation, conveyances, or sales" shall be sealed, 

signed and dated by the Professional Land Surveyor and shall 

contain the following: 

(1) An accurately positioned north arrow 

coordinated with any bearings shown on the 

plat. Indication shall be made as to whether 

the north index is true, magnetic, North 

Carolina grid ('NAD 83' or 'NAD27'), or is 

referenced to old deed or plat bearings. If the 

north index is magnetic or referenced to old 

deed or plat bearings, the date and the source 

(if determined) shall be clearly indicated. 

(2) The azimuth or courses and distances of every 

property line surveyed shall be shown. 

Distances shall be in feet or meters and 

decimals thereof. The number of decimal 

places shall be appropriate to the class of 

survey required. 

(3) All plat lines shall be horizontal or grid 

measurements. All lines shown on the plat 

shall be correctly plotted to the scale shown. 

Enlargements of portions of a plat are 

acceptable in the interest of clarity, where 

shown as inserts. Where the North Carolina 

grid system is used, the combined grid factor 

shall be shown on the face of the plat. If grid 

distances are used, it must be shown on the 

plat. 

(4) Where a boundary is formed by a curved line, 

the following data must be given: actual 

survey data, or as a series of subchords with 

bearings and distances around the curve. If 

standard curve data is used, the bearing and 

distance of the long chord (from point of 

curvature to point of tangency) must be shown 

on the face of the plat. 

(5) Where a subdivision of land is set out on the 

plat, all streets and lots shall be accurately 

plotted with dimension lines indicating widths 

and all other information pertinent to retracing 

all lines in the field. This shall include 

bearings and distances sufficient to form a 

continuous closure of the entire perimeter. 

(6) Where control corners have been established 

in compliance with G.S. 39-32.1, 39-32.2, 

39-32.3, and 39-32.4, as amended, the location 

and information as required in the referenced 

statute shall be shown on the plat. All other 

corners that are marked by monument or 

natural object shall be so identified on all 

plats, and where practical all corners of 

adjacent owners along the boundary lines of 

the subject tract that are marked by monument 

or natural object shall be shown. 

(7) The surveyor shall show one of the following 

where they could be determined: 

(A) The names of adjacent land owners; 

or 


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(B) 

The lot, block, parcel and subdivision 

designations; or 

(C) Other legal reference where 

applicable. 

(8) All visible and apparent rights-of-way, 

easements, watercourses, utilities, roadways, 

and other such improvements shall be 

accurately located where crossing or forming 

any boundary line of the property shown. 

(9) Tie lines as required and defined in Rule 

.1602(g) of this Section shall be clearly and 

accurately shown on the face of the plat, 

whether or not the plat is to be recorded. 

(10) A vicinity map (location map) shall appear on 

the face of the plat. 

(11) Each map shall contain the property 

designation, name of owner or prospective 

owner, location (including township, county, 

and state), and the date or dates the survey was 

conducted. In addition each map shall contain 

a scale of the drawing listed in words or 

figures; a bargraph; the name, address, license 

number, and seal of the surveyor; the title 

source; and a legend depicting nomenclature 

or symbols not otherwise labeled. 

(12) Each map shall contain a certificate signed by 

the Professional Land Surveyor in 

substantially the following form: 

"I certify that this map was drawn under my 

supervision from an actual survey made under 

my supervision (deed description recorded in 

Book ______, page ______ or other reference 

source ____________________); that the 

boundaries not surveyed are indicated as 

drawn from information in Book ______, page 

______ or other reference source 

____________________; that the ratio of 

precision or positional accuracy is 

___________________; and that this map 

meets the requirements of The Standards of 

Practice for Land Surveying in North Carolina 

(21 NCAC 56 .1600)." 

This ______day of _______________, 

2_____. 

Seal 


Professional Land Surveyor 

21 NCAC 56 .1606 SPECIFICATIONS FOR 

TOPOGRAPHIC AND PLANIMETRIC MAPPING, 

INCLUDING GROUND, AIRBORNE, AND 

SPACEBORNE SURVEYS 

(a) General. 

(1) Topographic surveys are defined as surveys 

that have as their major purpose the 

determination of the configuration (relief) of 

the earth (ground) and the location of natural 

or artificial objects thereon. 

(2) Planimetric mapping is defined as producing a 

map that presents the horizontal positions only 

for the features represented; distinguished 

from a topographic map by the omission of 

relief in measurable form. 

(3) Airborne and spaceborne surveys are defined 

as the use of photogrammetry, LIDAR, 

IFSAR, or other similar measurement 

technologies for obtaining reliable information 

about physical objects and the environment, 

including terrain surface, through the process 

of recording, measuring, and interpreting 

images and patterns of electromagnetic radiant 

energy and other phenomena. This Rule 

establishes minimum allowable 

photogrammetric production procedures and 

standards for photogrammetric mapping and 

digital data production. 

(b) Production procedures for topographic and planimetric 

mapping surveys shall be in accordance with the standards 

established by ChapterPart 3 of the Federal Geographic Data 

Committee (FGDC) Geospatial Positioning Accuracy Standard 

and applicable extensions and revisions. These standards are 

incorporated by reference including subsequent amendments and 

editions. The material is available from the Board office at athe 

cost of five dollars ($5.00) per copyreproduction as a public 

record or from the FGDC.FGDC at www.fgdc.gov at no cost. 

Reporting accuracy shall be in accordance with Part 1 of the 

FGDC geospatial standards. 

(c) Topographic or planimetric maps, orthophotos, and/orand 

related electronic data, unless clearly marked as "Preliminary 

Map," shall meet contractually specified FGDC Standards for 

horizontal and vertical accuracies (in the absence of specified 

standards, the National Map Accuracy Standards apply) and 

shall be sealed, signed and datedcertified by the licensee. 

(d) When the resulting product is a digital (electronic) data set, 

or a map or document consists of more than one sheet or 

otherwise cannot be signed and sealed, certified, a project report 

shall be certified, signed and sealed. certified. Such The report 

shall be clearly marked "Preliminary" if applicable. 

(e) Ground control for topographic and planimetric mapping 

projects shall be in North Carolina State Plane Coordinate 

System grid coordinates and distances when the project is tied to 

Grid. A minimum of one permanent project vertical control 

point shall be shown. 

(f) The project map or report shall contain the applicable 

following information: 

(1) Date of original data acquisition. 

(2) Altitude of sensor and sensor focal length, as 

applicable. 

(3) Date of document or data set compilation. 

(4) If hard copy product is produced, the maps 

shall contain a north arrow, map legend, final 

document scale, including bargraph, and 

contour interval, as applicable. 

(5) Coordinate system for horizontal and vertical 

denoting SI or English units (i.e., NAD83, 

assumed, or other coordinate system). 


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(6) A list or note showing the control points used 

for the project. The minimum data shown for 

each point shall include: physical attributes 

(i.e.e.g. iron rod, railroad spike, etc),spike), 

latitude and longitude (or X and Y Grid 

coordinates), and elevation, as applicable. 

(7) If other data is included, the source and 

accuracy of those items must be clearly 

indicated. 

(8) A statement of accuracy complying with 

contractually specified FGDC standards 

consistent with Paragraph (c) of this Rule. 

(9) For topographic maps or data sets, contours in 

areas obscured by man-made or natural 

features shall be uniquely identified or 

enclosed by a polygon clearly identifying the 

obscured area. The accuracies of the contours 

or of features in this obscured area shall be 

noted "No reliance is to be placed on the 

accuracy of these contours." 

(10) A vicinity map depicting the project location 

shall appear on the first sheet of all hard copy 

maps or in the report accompanying digital 

files. 

(11) Company name, address and phone number. 

(12)(11) The name of the client for whom the project 

was conducted. 

(g) Nothing in this Section shall be construed to negate or 

replace the relative accuracy standards found in Rules .1601 

through .1608. 

(h) A certificate, substantially in the following form, shall be 

affixed to all maps or reports: 

" I, ______________________, certify that this project was 

completed under my direct and responsible charge from an 

actual (insert as appropriate: ground or airborne, airborne) 

photogrammetric) survey made under my supervision; that this 

photogrammetric survey was performed to meet Federal 

Geographic Data Committee Standards as applicable; that the 

imagery and/or original data was obtained on 

_____(date)__________; that the photogrammetric survey was 

completed on ___(date)_______; that contours shown as [broken 

lines] may not meet the stated standard; and all coordinates are 

based on ______________." 

(i) Documents transmitted electronically shall have the 

computer-generated seal removed from the original file and a 

copy of the project report shall be signed, sealedcertified and 

sent to the client. The electronic data shall have the following 

inserted in lieu of the signature and date: 

"This document originally issued and sealed by (name of sealer), 

(license number), on (date of sealing). This electronic media 

shall not be considered a certified document. See the project 

report for certificate and seal." 


21 NCAC 56 .1607 GLOBAL POSITIONING 

SYSTEMS SURVEYS 

(a) General. Global Positioning System (GPS) surveys are 

defined as any survey performed by using the GPS 

3-dimensional measurement system based on observations of the 

radio signals of the Department of Defense's NAVSTAR 

(Navigation Satellite Timing and Ranging) GPS System. Global 

Positioning Systems (GPS) are defined as the navigation and 

positioning systems that comprise the Global Navigation 

Satellite System (GNSS), which includes NAVSTAR, 

GLONASS, GALILEO, COMPASS, and any other satellitebased 

navigation and positioning systems. All GPS boundary 

and geodetic control surveys, aerial photography control 

surveys, and GIS/LIS collection surveys of features included 

insurveys as defined in G.S. 89C-3(7) performed in North 

Carolina shall be performed by a Professional Land Surveyor 

licensed in North Carolina. 

(b) Geodetic control surveys for inclusion of the data in the 

National Spatial Data Network (Blue Book) shall be performed 

in accordance with specifications established by the Federal 

Geographic Data Committee (FGDC) and the National Geodetic 

Survey. These specifications are incorporated by reference 

including subsequent amendments and editions. The material is 

available for inspection at the office of the North Carolina 

Geodetic Survey, 121 W. Jones Street (Elks Building), Raleigh, 

North Carolina 27603, www.ncgs.state.nc.us. Copies may be 

obtained at the office of the North Carolina Geodetic Survey. 

Copies may be obtained at a cost of two dollars ($2.00). GPS 

surveys performed to other Federal Standards shall conform to 

the appropriate Federal standard procedures for the specific 

project. 

(b) The Professional Land Surveyor in responsible charge of the 

GPS survey shall certify, sign and sealcertify all prepared 

documents. When a map or document consists of more than one 

sheet, only one sheet must contain the certificate and all others 

must be signed and sealed. certified. The certificate and/or 

metadata notes shall contain the following information: 

(1) Class of GPS survey. survey as defined in the 

Standards of Practice (or list the sections). 

(2) Type of GPS field procedureprocedure, such 

as, but not limited to (Static,Static, Kinematic, 

Pseudo-Kinematic).Pseudo-Kinematic, Realtime 

Kinematic, Real-time Kinematic 

networks, and Online Position User Service. 

(3) Type of adjustment used. Positional accuracy. 

(4) Dates of survey. 

(5) Type and model of GPS receivers used. 

(6)(5) What datum and epoch coordinates or 

geographic positions are based on. 

(6) Designation of fixed-control stations and their 

positional data. 

(7) Geiod model used. 

(8) Combined grid factor(s). 

The certificate shall be substantially in the following form: 

"I, ____________________, certify that this map was drawn 

under my supervision from an actual GPS survey made under 

my supervision, supervision and the following information was 

used to perform the survey: that this GPS survey was performed 

to ________________ FGCC specifications and that I used 

__________________. GPS field procedures and coordinates 

were obtained by _________________ adjustment. That this 

survey was performed on ___________________ using (type) 


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(number) of receivers and all coordinates are based on 

______________." 

(1) Class of survey: __________ 

(2) Positional accuracy: _____________ 

(3) Type of GPS field procedure: ________ 

(4) Dates of survey: _________________ 

(5) Datum/Epoch: ____________________ 

(6) Published/Fixed-control use: ____________ 

(7) Geiod model: ________________________ 

(8) Combined grid factor(s): _______________ 

(9) Units: _______________________ 

Prepared documents shall include coordinates (see paragraph f. 

below for the list of data to show) of all monuments and a map 

showing all non-trivial vectors measured. The map shall also 

contain the following information: 

(1) Scale (bar or numerical). 

(2) Legend. 

(3) Loop closures before any adjustment. 

(4) Certification. 

(5) Company name, license number, address and 

phone number. 

(c) GPS surveys performed to provide local control networks 

for use as a network base shall be performed using static or rapid 

static methods. These surveys shall be performed in such a 

manner that a 95% 95 percent confidence level of the positional 

accuracy of each point relative to the published positions of the 

control points used and shall meet the accuracy standards of a 

Class AA survey as set out in Rule .1603. 

(d) GPS surveys performed to provide local horizontal or 

vertical Grid control on a parcel of land where the boundary or 

topography of that parcel will be shown relative to NC Grid 

horizontal or vertical datum shall be performed using static or 

rapid static techniques, or kinematic or real time kinematic 

techniques. These surveys shall be performed using techniques 

that will provide the standards of accuracy for the class of survey 

being performed while determining the horizontal or vertical 

positions of objects as set out in Rule .1603 or Rule .1606 as 

applicable. 

(e) All plats, maps, and reports published based upon this type of 

GPS survey shall contain a statement worded substantially as 

follows: "The NC Grid coordinates shown on this [plat or report] 

were derived by [static or rapid static or kinematic or real time 

kinematic] differential GPS observations using [number of 

receivers] [brand name] [model number] receivers. The vectors 

were adjusted using the fixed station(s) shown using [software 

brand and program name] software producing a weighted least 

squares adjustment of the [WGS 84 or NAD 83 or other system] 

positions. The median vector error is computed to be [x.x] ppm. 

A loop of [miles or kilometers or feet or meters] using the unadjusted 

vectors passing through the fixed and derived control 

stations yields a loop precision of [1:xxx or xx.x ppm]." 

(f)(e) A list or note showing the fixedFixed station(s) used for 

the project shall appear on the map, plat, or report. The 

minimum data shown for each fixed station shall be station 

name, horizontal position (northing and easting) or latitude, 

longitude, elevation (ellipsoid or orthometric), and geoid 

heightdatum and epoch.epoch. (93, 96, 99, etc.), and the 

coordinate reference system. State plane coordinates may be 

added if desired. 


21 NCAC 56 .1608 CLASSIFICATION/LAND 

INFORMATION SYSTEM/GEOGRAPHIC 

INFORMATION SYSTEM SURVEYS 

(a) General: Land Information System/Geographic Information 

System (LIS/GIS) surveys are defined as the measurement of 

existing surface and subsurface features for the purpose of 

determining their accurate geospatial location for inclusion in an 

LIS/GIS database. All LIS/GIS surveys as they relate to 

property lines, rights-of-way, easements, subdivisions of land, 

the position for any survey monument or reference point, the 

determination of the configuration or contour of the earth's 

surface or the position of fixed objects thereon, and geodetic 

surveying which includes surveying for determination of the size 

and shape of the earth both horizontally and vertically and the 

precise positioning of points on the earth utilizing angular and 

linear measurements through spatially oriented spherical 

geometry, shall be performed by a Land Surveyor who is a 

licensee of this Board. For the purpose of specifying minimum 

allowable surveying standards, three four general classifications 

of LIS/GIS surveys are established: established, any of which 

may be specified by the client. In the absence of a specified 

standard, the surveyor shall conform the survey to the 

requirements for a Class B survey. The four general 

classifications are: 

(1) Urban and Suburban LIS/GIS surveys (Class 

A) Urban and suburban LIS/GIS surveys 

include the location of features within lands 

which lie in or adjoining a town or city. Class 

A LIS/GIS surveys. For Class A LIS/GIS 

surveys in North Carolina, the relative 

accuracy shall be equal to or less than 0.5 

meter (1.64 feet). (1.64 feet); 

(2) Class B LIS/GIS surveys. For Class B 

LIS/GIS surveys in North Carolina, the 

relative accuracy shall be equal to or less than 

1.0 meter (3.28 feet); 

(2)(3) Rural LIS/GIS surveys (Class B) Class C 

LIS/GIS surveys. Rural LIS/GIS surveys 


which lie outside of suburban areas. For Class 

BC LIS/GIS surveys in North Carolina, the 


2 meters (6.56 feet). (6.56 feet); and 

(3)(4) Regional LIS/GIS surveys (Class C) Class D 

LIS/GIS surveys. Regional LIS/GIS surveys 


which lie in multi-county areas. For Class CD 

LIS/GIS surveys in North Carolina, the 


5 meters (16.40 feet). 

(b) Nothing in this Rule shall be construed to negate or replace 

negates or replaces the relative accuracy standards found in 

Rules .1601 through .1607 of this Chapter. 

(c) The Professional Land Surveyor in responsible charge of 

the LIS/GIS boundary or geodetic control survey shall certify to 

all of the following in either written or digital form: 


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(1) Class of LIS/GIS survey, survey. Method 

used to evaluate the accuracy shall be 

described as either statistical testing or least 

squares adjustment results, comparison with 

values of higher accuracy, and repeat 

measurements. The reporting standard in the 

horizontal component is the radius of a circle 

of uncertainty, such that the true or theoretical 

location of the point falls within that circle 95 

percent of the time. For vertical accuracy 

requirements, see .1606. 

(2) Method of measurement (i.e. global 

positioning system, theodolite and electronic 

distance meter, transit and tape), 

(3) Date(s) of the survey, and 

(4) Datum used for the survey. 


SECTION .1700 – CONTINUING PROFESSIONAL 

COMPETENCY 

21 NCAC 56 .1702 DEFINITIONS 

Terms used in this Section are defined as follows: 

(1) Professional Development Hour (PDH) - A 

contact hour (nominal) of instruction or 

presentation. The common denominator for 

other units of credit. 

(2) Continuing Education Unit (CEU) - Unit of 

credit customarily used for continuing 

education courses. One continuing education 

unit equals 10 contact hours of instruction or 

presentation. 

(3) College/Unit Semester/Quarter Hour - Credit 

for Accreditation Board for Engineering and 

Technology approved course or other related 

college course. 

(4) Course/Activity - Any course or activity with a 

clear purpose and objective which will 

maintain, improve, andor expand the skills and 

knowledge relevant to the licensee's field of 

practice. 

(5) Dual Licensee - A person who is licensed as 

both an engineer and a land surveyor. 

(6) Sponsor - Organization or individual that has 

supplied information on a form prescribed and 

furnished by the Board with respect to the 

organization or individual's ability to provide 

instruction in "for credit" courses. Courses 

offered by those designated as "Sponsor" must 

contain a clear purpose and objective, and 

result in the maintenance, improvement, andor 

expansion of skills and knowledge relevant to 

a licensee's field of practice. Courses offered 

by "Sponsors" are deemed acceptable for PDH 

credit without scrutiny of individual course 

content. 

Authority G.S. 89C-10(a); 89C-17. 

21 NCAC 56 .1703 REQUIREMENTS 

Every licensee shall obtain 15 PDH units during the renewal 

period. If a licensee exceeds the annual requirement in any 

renewal period, a maximum of 15 PDH units may be carried 

forward into the subsequent renewal period. Selection of 

courses and activities which meet the requirements of Rule 

.1702(4) of this Section is the responsibility of the licensee. 

Licensees may select courses other than those offered by 

sponsors. Post evaluation of courses offered by other than 

sponsors as defined in Rule .1702(6) of this Section may result 

in non-acceptance. PDH units may be earned as follows: 

(1) Completion of college courses; 

(2) Completion of continuing education 

courses;courses, seminars, or workshops; 

(3) Completion of correspondence, televised, 

internet, videotaped, audiotaped, and other 

short courses/tutorials; courses/tutorials 

provided an exam is required for completion; 

(4) Presenting or attending seminars, in-house 

courses, workshops, or professional or 

technical presentations made at meetings, 

conventions or conferences; 

(5) Teaching or instructing in Items (1) through 

(4) of this Rule; 

(6) Authoring published papers, articles, or books; 

(7) Active participation in professional or 

technical societies;societies as defined in Rule 

.1705(e) of this Section; 

(8) Patents; and 

(9) Authoring exam questions accepted for use in 

the engineering or land surveying exams. 


21 NCAC 56 .1705 DETERMINATION OF CREDIT 

(a) The Board of Examiners has final authority with respect to 

approval of courses, sponsors, credit, PDH value for courses, 

and other methods of earning credit. 

(b) Credit for college or community college courses shall be 

based upon course credit established by the college. 

(c) Credit for continuing education courses, seminars and 

workshops shall be based on one PDH unit for each hour of 

attendance. Attendance at programs presented at professional 

and technical society meetings shall earn PDH units for the 

actual time of each program. 

(d) Credit for correspondence, televised, internet, videotaped, 

audiotaped, and other courses/tutorials, provided an exam is 

required for completion, shall be based upon one PDH unit for 

each hour assigned to the course, provided such hours are a 

reasonably estimated time for an average professional to 

complete the course. 

(d)(e) Credit determination for published papers, articles and 

books and obtaining patents is the responsibility of the licensee. 

(e)(f) Credit for active participation in professional and 

technical societies (limited to 2 PDH per organization), requires 

that a licensee serve as an officer or actively participate in a 

committee of the organization. PDH credits are not earned until 

the end of each year of service is completed. 


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21 NCAC 56 .1706 RECORDKEEPING 

The licensee shall maintain the following records to be used to 

support credits claimed. claimed: Records required include, but 

are not limited to: 

(1) a log showing the type of activity claimed, title 

or specific subject, sponsoring organization, 

location, duration, date, instructor's or 

speaker's name, and PDH credits earned; 

earned, and other information on a form as 

prescribed by the Board; and 

(2) attendance verification records in the form of 

completion certificates, or other documents 

supporting evidence of attendance;or 

attendance. 

(3) records as maintained by the National 

Professional Development Registry for 

Engineers and Surveyors (NPDRES) of the 

National Society of Professional Engineers 

(NSPE). 

These records must be maintained for a period of three years and 

copies may be requested by the board for audit verification 

purposes. The Board shall approve other records that contain the 

information required by this Rule. 


21 NCAC 56 .1707 EXEMPTIONS 

A licensee may be exempt from the professional development 

educational requirements for one of the following reasons: 

(1) New licensees by way of examination or 

reciprocitycomity shall beare exempt for their 

first renewal period. 

(2) A licensee serving on temporary active duty in 

the uniformed services of the United States for 

a period of time exceeding 120 consecutive 

days in a year shall beis exempt from 

obtaining the professional development hours 

required during that year. 

(3) The Board shall exempt a licensee Licensees 

experiencing physical disability, illness, or 

other extenuating circumstances as reviewed 

and approved byif the boardBoard may be 

exempt.determines that the licensee is 

experiencing physical disability, illness, or 

other extenuating circumstances that prevent 

the licensee from obtaining professional 

development hours. Supporting 

documentation must be furnished to the board. 

(4) Licensees who list their occupation as 

"Inactive" on the board approved renewal form 

and who further certify that they are no longer 

receiving any remuneration from providing 

professional engineering or land surveying 

services shall beare exempt from the 

professional development hours required. In 

the event such a person elects to return to 

active practice of professional engineering or 

land surveying, professional development 

hours must be earned in accordance with the 

requirements of Rule .1708 in this Section 

before returning to active practice for each 

year exempted not to exceed the annual 

requirement for two years. 


21 NCAC 56 .1709 COMITY/OUT-OF- 

JURISDICTION RESIDENT 

Licensees who are residents of jurisdictions other than North 

Carolina mustshall meet the CPC requirements of their resident 

jurisdiction. The requirements for North Carolina will be 

deemed as satisfied when a non- resident licensee provides 

evidence of having met the requirements of his or her resident 

jurisdiction. If licensees residethe licensee resides in a 

jurisdiction that has no CPC continuing professional competency 

(CPC) requirement, or the licensee is exempt from the CPC 

requirement in the licensee's resident jurisdiction, the 

residentlicensee must meet the requirements of North Carolina. 


21 NCAC 56 .1712 COMPLIANCE 

(a) Compliance with annual Continuing professional 

Professional Competency (CPC) requirements shall be 

determined through an audit process conducted by the Board. 

Determination of individuals to be audited shall be accomplished 

through a random selection process or as the result of 

information available to the Board. Individuals selected for 

auditing shall provide the Board with the following 

documentation of the CPC activities claimed for the renewal 

period, including but not limited to: period: 

(1) Attendance verification records in the form of 

transcripts, completion certificates, other 

documents supporting evidence of attendance, 

orand a log as defined in Rule .1706 of the 

Section. Section; and 

(2) Information regarding course content, 

instructors and sponsoring organization, for 

activities presented by other than approved 

sponsors as defined in Rule .1713 of this 

Section. 

(b) Attendance records shall be maintained by individual 

licensees for a period of three years for audit verification 

purposes. 

(c) Failure to comply with annual CPC requirements shall result 

in non-renewal and all disciplinary actions allow by G. S. 

89C21. 


21 NCAC 56 .1713 SPONSORS 

(a) The Board shall approve sponsors of Continuing 

Professional Competency (CPC) activities and not particular 

courses.activities. The Board shall maintain a list of sponsors 

which have agreed to conduct programs in accordance with the 

standards of CPC activities set forth in 21 NCAC 56.1700. Such 


778


sponsors shall indicate their agreement with the requirements by 

executing a Sponsor Agreement on a form provided by the 

Board. These sponsors shall be designated as "Approved 

Sponsors," Sponsors" based upon approval by the Board of the 

sponsor application and payment of a one hundred fifty dollar 

($150.00) application fee. 

(b) By entering into an agreement with the Board to be 

designated as an "Approved Sponsor," the sponsor shall agree to: 

(1) Allow persons designated by this Board to 

attend any or all courses, without fee or 

charge, for the purpose of determining that 

said course meets the standards of the Board. 

(2) Allow persons designated by this Board to 

review course material for the purpose of 

determining that said the course meets the 

standards of the Board. 

(3) State in every brochure, publication or 

announcement concerning the course, the 

general content of the course and the specific 

knowledge or skill to be taught or addressed, 

as well as the credit to be earned in 

Professional Development Hours (PDH). 

(4) Ensure that the instructors or presenters of the 

course or program are qualified to teach the 

subject matter. 

(5) Provide persons completing the course with 

written documentation attesting to that 

person's attendance to the course, as well as 

the name of the course, the date and location 

held, the instructor's name and the number of 

PDHs earned. 

(6) Provide attendees an evaluation form as 

provided by the Board that is to be collected 

and retained for audit by the Board. 

(6)(7) Submit quarterly reports to the Board 

(whether, or not, a course was offered in that 

quarter) which shall include the sponsor's 

name, the name of the course, the date and 

location held, the instructor's name, the 

number of PDHs earned and a list of attendees. 

(7)(8) Have a visible, continuous and identifiable 

contact person who is charged with the 

administration of the sponsor's CPC program 

and who has the responsibility for assuring and 

demonstrating to the Board compliance with 

these Rules, this Rule, as well as for any other 

organization working with the sponsor for the 

development, distribution and/or or 

presentation of CPC courses or activities. 

(8)(9) Retain for a period of three years a copy of the 

above documentation. documentation required 

by this Paragraph. 

(c) Sponsors shall renew annually on a form provided by the 

Board. 

(d) Failure of an approved sponsor to comply with the terms of 

the CPC sponsor agreement shall beis grounds for the Board to 

revoke, suspend or terminate the agreement, to remove the 

sponsor's name from the list of approved sponsors and to notify 

the public of such action. A sponsor that is given notice of 

revocation, suspension or termination can may request an 

administrative hearing to be conducted as provided in 21 NCAC 

56.140056 .1400 Contested Cases. 

(e) Approval of a sponsor is equivalent to the language of 

licensing a sponsor in G.S. 89C-10(h). 


TITLE 25 – OFFICE OF STATE PERSONNEL 


the State Personnel Commission intends to amend the rule cited 

as 25 NCAC 01H .0632. 



Date: January 14, 2009 

Time: 10:00 a.m. 

Location: Office of State Personnel, Administration Building, 

3 rd floor, 121 West Jones Street, Raleigh, NC 27603 

Reason for Proposed Action: The current rule and policy 

requires that an applicant complete a Form-PD-107, or its 

equivalent, in order to apply for State employment. We are 

proposing to amend the rule to allow applicants to submit a 

resume for use in the initial stages of the selection process. If 

the applicant is selected for an interview, the applicant would 

then be required to complete the Form PD-107 or its equivalent. 


proposed rule: A person may object to these proposed rules by 

one of the following methods: A written letter to Peggy Oliver, 

HR Policy Administrator, Office of State Personnel, 1331 Mail 

Service Center, Raleigh, NC 27699-1331, an email to 

peggy.oliver@ncmail.net, or a telephone call to Peggy Oliver at 

919-807-4832. 

Comments may be submitted to: Peggy Oliver, 1331 Mail 

Service Center, Raleigh, NC 27699-1331, phone (919) 807- 

4832, fax (919) 715-9750, email peggy.oliver@ncmail.net 
















779





State 

Local 


None 

CHAPTER 01 – OFFICE OF STATE PERSONNEL 

SUBCHAPTER 01H - RECRUITMENT AND SELECTION 

SECTION .0600 - GENERAL PROVISIONS 

25 NCAC 01H .0632 APPLICANT INFORMATION 

AND APPLICATION 

Applicants applying for a state vacancy shall complete and 

submit a State Application Form (Form PD-107 or its 

equivalent) to the hiring authority. At the discretion of the 

agency, a resume may be accepted in lieu of an application in the 

initial stages of the screening process. Applicants selected for an 

interview shall complete and submit a State application (Form 

PD-107 or its equivalent) at the time of the interview. In 

completing an Application Form, persons subject to registration 

under the Military Selective Service Act (50 United States Code, 

Appx Section 453) shall certify compliance with such 

registration requirements to be eligible for State employment, as 

required by G.S. 143B-421.1. Also, persons eligible for 

veteran's preference shall submit a DD Form 214, Certificate of 

Release or Discharge from Active Duty, with the application or 

resume. The agency shall verify eligibility for veterans' 

preference. The knowing and willful failure of a subject person 

to certify compliance when submitting an application for 

consideration, or to falsely certify compliance, may be grounds 

for dismissal from employment. 

Authority G.S. 96-29; 126-4(4). 


780

APPROVED RULES 

This Section includes a listing of rules approved by the Rules Review Commission followed by the full text of those rules. The 

rules that have been approved by the RRC in a form different from that originally noticed in the Register or when no notice was 

required to be published in the Register are identified by an * in the listing of approved rules. Statutory Reference: G.S. 150B- 

21.17. 

Rules approved by the Rules Review Commission at its meeting on September 18, 2008. 

REGISTER CITATION TO THE 

NOTICE OF TEXT 

MEDICAL CARE COMMISSION 

Required Spaces 10A NCAC 13D .3201* 22:21 NCR 

PUBLIC HEALTH, COMMISSION FOR 

Minimum Standard Health Department: Staffing 10A NCAC 46 .0301* 22:14 NCR 

SOCIAL SERVICES COMMISSION 

Scope 10A NCAC 70F .0101* 22:22 NCR 

Licensure 10A NCAC 70F .0102* 22:22 NCR 

Governance 10A NCAC 70F .0201* 22:22 NCR 

Responsibilities of the Governing Body 10A NCAC 70F .0202* 22:22 NCR 

Finances, Fees and Insurance 10A NCAC 70F .0203* 22:22 NCR 

Agency Setting 10A NCAC 70F .0204 22:22 NCR 

Responsibility to Licensing Authority 10A NCAC 70F .0205* 22:22 NCR 

Personnel Policies 10A NCAC 70F .0206* 22:22 NCR 

Staff 10A NCAC 70F .0207* 22:22 NCR 

Confidentiality 10A NCAC 70F .0208* 22:22 NCR 

Client Rights 10A NCAC 70F .0209 22:22 NCR 

Grievance Procedures 10A NCAC 70F .0210 22:22 NCR 

Searches 10A NCAC 70F .0211 22:22 NCR 

Medication Administration 10A NCAC 70F .0212 22:22 NCR 

Home-Schooliong 10A NCAC 70F .0213 22:22 NCR 

Scope 10A NCAC 70G .0101 22:22 NCR 

Organization and Administration 10A NCAC 70G .0102 22:22 NCR 

Personnel 10A NCAC 70G .0201 22:22 NCR 

Intake Procedures and Practices 10A NCAC 70G .0202 22:22 NCR 

Case Plan 10A NCAC 70G .0203 22:22 NCR 

Placement Services 10A NCAC 70G .0204 22:22 NCR 

Records 10A NCAC 70G .0205 22:22 NCR 

Assessment and Treatment/Habilitation or Service… 10A NCAC 70G .0206 22:22 NCR 

Client Records for Children Receiving Mental…. 10A NCAC 70G .0207 22:22 NCR 

Medication Requirements 10A NCAC 70G .0208 22:22 NCR 

Behavior Management and Discipline 10A NCAC 70G .0209 22:22 NCR 

Staffing Requirements 10A NCAC 70G .0301 22:22 NCR 

Training Requirements 10A NCAC 70G .0302 22:22 NCR 

Scope 10A NCAC 70G .0401 22:22 NCR 


781


Definitions 10A NCAC 70G .0402 22:22 NCR 

Personnel 10A NCAC 70G .0501* 22:22 NCR 

Application Procedures and Practices 10A NCAC 70G .0502* 22:22 NCR 

Placement Services 10A NCAC 70G .0503* 22:22 NCR 

Out-of-Home Family Services Agreement for 

10A NCAC 70G .0504* 

22:22 NCR 

Children… 

Person-Centered Plan for Children Receiving 

10A NCAC 70G .0505* 


Therapeutic… 

Client Records 10A NCAC 70G .0506* 22:22 NCR 

Client Rights 10A NCAC 70G .0507 22:22 NCR 

Grievance Procedures 10A NCAC 70G .0508 22:22 NCR 

Searches 10A NCAC 70G .0509 22:22 NCR 

Medication Administration Requirements 10A NCAC 70G .0510* 22:22 NCR 

Home-Schooling 10A NCAC 70G .0511* 22:22 NCR 

Physical Restraining Holds, Behavior Management 10A NCAC 70G .0512* 


and Disci… 

Critical Incidents 10A NCAC 70G .0513* 22:22 NCR 

Applicability 10A NCAC 70H .0101 22:22 NCR 

Organization and Administration 10A NCAC 70H .0102 22:22 NCR 


Intake Procedures and Practices 10A NCAC 70H .0103 22:22 NCR 

Case Plan 10A NCAC 70H .0104 22:22 NCR 

Placement Services to Families and Children 10A NCAC 70H .0105 22:22 NCR 

Adoptive Home Recruitment 10A NCAC 70H .0106 22:22 NCR 

Adoptive Home Application 10A NCAC 70H .0107 22:22 NCR 

Preplacement Assessment 10A NCAC 70H .0108 22:22 NCR 

Notification Regarding Preplacement Assessment 10A NCAC 70H .0109 22:22 NCR 

Services to Adoptive Applicants and Families 10A NCAC 70H .0110 22:22 NCR 

Legal Process 10A NCAC 70H .0111 22:22 NCR 


Scope 10A NCAC 70H .0201* 22:22 NCR 

Organization and Administration 10A NCAC 70H .0301* 22:22 NCR 

Conflict of Interest 10A NCAC 70H .0302 22:22 NCR 

Personnel 10A NCAC 70H .0401* 22:22 NCR 

Intake Procedures and Out-of-Home Family 

10A NCAC 70H .0402* 


Services… 

Placement Services To Families and Children 10A NCAC 70H .0403* 22:22 NCR 

Adoptive Home Application 10A NCAC 70H .0404 22:22 NCR 

Preplacement Assessment 10A NCAC 70H .0405* 22:22 NCR 

Notification Regarding Preplacement Assessment 10A NCAC 70H .0406* 22:22 NCR 

Services to Adoptive Applicants and Families 10A NCAC 70H .0407* 22:22 NCR 

Legal Process 10A NCAC 70H .0408 22:22 NCR 

Records 10A NCAC 70H .0409 22:22 NCR 

Licensing Process 10A NCAC 70I .0102 22:22 NCR 

Definitions 10A NCAC 70I .0201* 22:22 NCR 

Responsibility to Licensing Authority 10A NCAC 70I .0202* 22:22 NCR 

Substantiations of Neglect Against the Facility 10A NCAC 70I .0203 22:22 NCR 


782


Licensure Procedures 10A NCAC 70I .0204* 22:22 NCR 

Governance 10A NCAC 70I .0301* 22:22 NCR 

Responsibilities of the Governing Body 10A NCAC 70I .0302* 22:22 NCR 

Finances and Insurance 10A NCAC 70I .0303* 22:22 NCR 

Internal Operating Procedures 10A NCAC 70I .0304 22:22 NCR 

Recordkeeping and Recording 10A NCAC 70I .0305* 22:22 NCR 

Client Rights 10A NCAC 70I .0306 22:22 NCR 

Grievance Procedures 10A NCAC 70I .0307 22:22 NCR 

Personnel Policies 10A NCAC 70I .0401 22:22 NCR 

Personnel Deployment 10A NCAC 70I .0402* 22:22 NCR 

Personnel File 10A NCAC 70I .0403* 22:22 NCR 

Personnel Qualifications 10A NCAC 70I .0404* 22:22 NCR 

Personnel Positions 10A NCAC 70I .0405* 22:22 NCR 

Volunteers 10A NCAC 70I .0407 22:22 NCR 

Admission Policies 10A NCAC 70I .0501* 22:22 NCR 

Admission Procedures 10A NCAC 70I .0502 22:22 NCR 

Admission Agreement 10A NCAC 70I .0503* 22:22 NCR 

Orientation 10A NCAC 70I .0504* 22:22 NCR 

Discharge Polices and Procedures 10A NCAC 70I .0505* 22:22 NCR 

Client Records 10A NCAC 70I .0506* 22:22 NCR 

Program Policies and Practices 10A NCAC 70I .0601* 22:22 NCR 

Family Involvement 10A NCAC 70I .0602* 22:22 NCR 

Visiting Resources 10A NCAC 70I .0603 22:22 NCR 

Health Services 10A NCAC 70I .0604* 22:22 NCR 

Routine Aspects of Health, Personal Hygiene, and 10A NCAC 70I .0605* 


Safety 

Nutrition 10A NCAC 70I .0606* 22:22 NCR 

Recreation and Leisure 10A NCAC 70I .0609 22:22 NCR 

Religion and Spiritual 10A NCAC 70I .0610* 22:22 NCR 

Work 10A NCAC 70I .0612* 22:22 NCR 

Discipline and Behavior Management 10A NCAC 70I .0613* 22:22 NCR 

Critical Incidents and Critical Incident Reports 10A NCAC 70I .0614* 22:22 NCR 

Searches 10A NCAC 70I .0615* 22:22 NCR 

Requirements for Approval 10A NCAC 70I .0701 22:22 NCR 

Construction and Renovation 10A NCAC 70I .0702 22:22 NCR 

Applicable Building Codes 10A NCAC 70I .0703 22:22 NCR 

Fire and Building Safety 10A NCAC 70I .0704 22:22 NCR 

General Sanitation 10A NCAC 70I .0705 22:22 NCR 

Bathing and Toilet Areas 10A NCAC 70I .0706 22:22 NCR 

Sleeping Areas 10A NCAC 70I .0707 22:22 NCR 

Living/Activity Areas 10A NCAC 70I .0708 22:22 NCR 

Dining Areas 10A NCAC 70I .0709 22:22 NCR 

Heat, Light and Ventilation 10A NCAC 70I .0710 22:22 NCR 

Exterior Space 10A NCAC 70I .0711 22:22 NCR 

Inspections 10A NCAC 70I .0712 22:22 NCR 

Vehicles Used for Transportation of Children 10A NCAC 70I .0713 22:22 NCR 

Staffing Requirements 10A NCAC 70I .0801 22:22 NCR 


783


Training Requirements 10A NCAC 70I .0802 22:22 NCR 

Application of Physical Plant Requirements 10A NCAC 70I .0901* 22:22 NCR 

Design and Construction 10A NCAC 70I .0902* 22:22 NCR 

Location 10A NCAC 70I .0903 22:22 NCR 

Living Arrangement 10A NCAC 70I .0904 22:22 NCR 

Living/Activity Areas 10A NCAC 70I .0905 22:22 NCR 

Dining Areas 10A NCAC 70I .0906 22:22 NCR 

Kitchen 10A NCAC 70I .0907 22:22 NCR 

Laundry Room 10A NCAC 70I .0908 22:22 NCR 

Sleeping Areas 10A NCAC 70I .0909* 22:22 NCR 

Bathing and Toilet Areas 10A NCAC 70I .0910 22:22 NCR 

Corridors 10A NCAC 70I .0911 22:22 NCR 

Outside Entrance and Exits 10A NCAC 70I .0912 22:22 NCR 

Floors 10A NCAC 70I .0913 22:22 NCR 

Housekeeping and Furnishings 10A NCAC 70I .0914 22:22 NCR 

Fire Safety and Disaster Plan 10A NCAC 70I .0915* 22:22 NCR 

Building Service Equipment 10A NCAC 70I .0916* 22:22 NCR 

Outside Premises 10A NCAC 70I .0917 22:22 NCR 

Vehicles Used For Transportation of Children 10A NCAC 70I .0918* 22:22 NCR 

Applicability 10A NCAC 70J .0101* 22:22 NCR 

Personnel 10A NCAC 70J .0103* 22:22 NCR 

Applicability 10A NCAC 70J .0201* 22:22 NCR 

Admission Procedures 10A NCAC 70J .0202* 22:22 NCR 

Admission Criteria 10A NCAC 70J .0203* 22:22 NCR 

Recordkeeping 10A NCAC 70J .0204 22:22 NCR 

Service Planning 10A NCAC 70J .0205 22:22 NCR 

Discharge Services 10A NCAC 70J .0206* 22:22 NCR 

Definition 10A NCAC 70K .0101* 22:22 NCR 

Organization and Administration 10A NCAC 70K .0102 22:22 NCR 

Licensing Actions 10A NCAC 70K .0103* 22:22 NCR 

Personnel 10A NCAC 70K .0201* 22:22 NCR 

Services 10A NCAC 70K .0202* 22:22 NCR 

Case Record 10A NCAC 70K .0203 22:22 NCR 

Program of Care 10A NCAC 70K .0204* 22:22 NCR 

Physical Facilities 10A NCAC 70K .0205 22:22 NCR 

Case Plan or Out-of-Home Family Services 

10A NCAC 70K .0206* 


Agreement 

Client Rights 10A NCAC 70K .0207 22:22 NCR 

Grievance Procedures 10A NCAC 70K .0208* 22:22 NCR 

Searches 10A NCAC 70K .0209* 22:22 NCR 

Critical Incidents and Critical Incident Reports 10A NCAC 70K .0210* 22:22 NCR 

Application of Physical Plant Requirements 10A NCAC 70K .0301* 22:22 NCR 

Design and Construction 10A NCAC 70K .0302* 22:22 NCR 

Location 10A NCAC 70K .0303 22:22 NCR 

Living Arrangement 10A NCAC 70K .0304 22:22 NCR 

Living Room 10A NCAC 70K .0305* 22:22 NCR 

Dining Room 10A NCAC 70K .0306* 22:22 NCR 


784


Kitchen 10A NCAC 70K .0307 22:22 NCR 

Bedrooms 10A NCAC 70K .0308* 22:22 NCR 

Bathrooms 10A NCAC 70K .0309 22:22 NCR 

Corridors 10A NCAC 70K .0310 22:22 NCR 

Outside Entrances and Exits 10A NCAC 70K .0311 22:22 NCR 

Laundry Room 10A NCAC 70K .0312 22:22 NCR 

Floors 10A NCAC 70K .0313 22:22 NCR 

Housekeeping and Furnishings 10A NCAC 70K .0314 22:22 NCR 

Fire Safety and Disaster Plan 10A NCAC 70K .0315* 22:22 NCR 

Building Service Equipment 10A NCAC 70K .0316 22:22 NCR 

Outside Premises 10A NCAC 70K .0317 22:22 NCR 

Use of Volunteers in Children's Services Case 

10A NCAC 70L .0101 


Reviews 

Waiver of Licensing Rules 10A NCAC 70L .0102* 22:22 NCR 

Denial, Amendment, Suspension and Revocation 10A NCAC 70L .0201* 22:22 NCR 

Appeal Procedures 10A NCAC 70L .0301 22:22 NCR 

Scope 10A NCAC 70M .0101 22:22 NCR 

Public Agencies 10A NCAC 70M .0201* 22:22 NCR 

Services to Adoptive Applicants 10A NCAC 70M .0302* 22:22 NCR 

Adoptive Home Recruitment 10A NCAC 70M .0304 22:22 NCR 

General Eligibility 10A NCAC 70M .0502* 22:22 NCR 

INSURANCE, DEPARTMENT OF 

Calculation Procedure and Data Requirements for Rate 11 NCAC 16 .0403* 22:24 NCR 

Devi... 

Maximum Net Retention Standard 11 NCAC 18 .0118* 22:24 NCR 

LABOR, DEPARTMENT OF 

Shop Inspections and National Board R Stamp 

13 NCAC 13 .0210* n/a G.S. 150B-21.5(a)(3) 

Qualification... 

Standards 13 NCAC 13 .0701* n/a G.S. 150B-21.5(a)(3) 

ENVIRONMENT AND NATURAL RESOURCES, DEPARTMENT OF 

Scope of Delegated Authority 15A NCAC 01O .0101* 22:23 NCR 

Eligibility for Delegation of Authority 15A NCAC 01O .0102 22:23 NCR 

Delegation of Authority 15A NCAC 01O .0103 22:23 NCR 

MARINE FISHERIES COMMISSION 

Definitions 15A NCAC 03I .0101* 22:20 NCR 

Purse Seines 15A NCAC 03J .0105* 22:20 NCR 

Atlantic Ocean 15A NCAC 03J .0202 22:20 NCR 

Prohibited Shellfish Areas/Activities 15A NCAC 03K .0101 22:20 NCR 

Prohibited Rakes 15A NCAC 03K .0102 22:20 NCR 

Shellfish Management Areas 15A NCAC 03K .0103 22:20 NCR 

Recreational Harvest of Shellfish 15A NCAC 03K .0105 22:20 NCR 

Taking our Unloading Oysters and Clams on Sunday 15A NCAC 03K .0106* 22:20 NCR 


785


or at Night 

Depuration of Shellfish 15A NCAC 03K .0107* 22:20 NCR 

Dredges/Mechanical Methods 15A NCAC 03K .0108 22:20 NCR 

Shellfish Harvester and Dealer Tags 15A NCAC 03K .0109 22:20 NCR 

Open Season and Possession Limit 15A NCAC 03K .0201* 22:20 NCR 

Seed Oyster Management Areas 15A NCAC 03K .0208 22:20 NCR 

Oyster Sanctuaries 15A NCAC 03K .0209* 22:20 NCR 

Prohibited Taking 15A NCAC 03K .0304 22:20 NCR 

Recreational Harvest of Crabs 15A NCAC 03L .0209 22:20 NCR 

Unmarketable Finfish 15A NCAC 03M .0102 22:20 NCR 

General 15A NCAC 03M .0201 22:20 NCR 

Season, Size and Harvest Limit: Atlantic Ocean 15A NCAC 03M .0204 22:20 NCR 

Spanish and King Mackerel 15A NCAC 03M .0301* 22:20 NCR 

Season and Areas 15A NCAC 03M .0401 22:20 NCR 

Foodfish Prohibited 15A NCAC 03M .0402 22:20 NCR 

Fishing on Weekends and Holidays Prohibited 15A NCAC 03M .0403 22:20 NCR 

Fish Spill Reporting Mandatory 15A NCAC 03M .0404 22:20 NCR 

Red Drum 15A NCAC 03M .0501 22:20 NCR 

Trout 15A NCAC 03M .0504* 22:20 NCR 

Shark 15A NCAC 03M .0505 22:20 NCR 

Snapper-Grouper Complex 15A NCAC 03M .0506* 22:20 NCR 

Bluefish 15A NCAC 03M .0511 22:20 NCR 

Compliance with Fishery 15A NCAC 03M .0512* 22:20 NCR 

River Herring 15A NCAC 03M .0513 22:20 NCR 

Scup 15A NCAC 03M .0514 22:20 NCR 

Kingfish (Sea Mullet) 15A NCAC 03M .0518 22:20 NCR 

Shad 15A NCAC 03M .0519 22:20 NCR 

Tuna 15A NCAC 03M .0520 22:20 NCR 

Standards for Shellfish Bottom and Water Column 15A NCAC 03O .0201* 


Lease 

Shellfish Lease Application 15A NCAC 03O .0203* 22:20 NCR 

Shellfish Franchises 15A NCAC 03O .0210 22:20 NCR 

Application Process 15A NCAC 03O .0402 22:20 NCR 

Eligibility Criteria 15A NCAC 03O .0404 22:20 NCR 

Designated See Oyster Management Areas 15A NCAC 03R .0116 22:20 NCR 

Oyster Sanctuaries 15A NCAC 03R .0117 22:20 NCR 

MASSAGE AND BODYWORK THERAPY, BOARD OF 

Application and Scope 21 NCAC 30 .0201* 22:17 NCR 

Treatment in Body Cavities 21 NCAC 30 .0516* 22:17 NCR 

ADMINISTRATIVE HEARINGS, OFFICE OF 

Location 26 NCAC 01 .0101* n/a G.S. 150B-21.5(a)(4) 

Scope and Availability 26 NCAC 02C .0401* n/a G.S. 150B-21.5(a)(4) 

Content and Filing Procedures 26 NCAC 04 .0202* n/a G.S. 150B-21.5(a)(4) 


786


These rules are subject to the next Legislative Session. (See G.S. 150B-21.3. 

AGRICULTURE, BOARD OF 

Adoption by Reference 02 NCAC 52J .0401* 22:09 NCR 

Authorized Persons 02 NCAC 52J .0402* 22:09 NCR 

Definitions 02 NCAC 52J .0403* 22:09 NCR 

Certification Requirements for Euthanasia Technicians 02 NCAC 52J .0404* 22:09 NCR 

Certification Standards 02 NCAC 52J .0405* 22:09 NCR 

Application Requirements 02 NCAC 52J .0406* 22:09 NCR 

Training and Examinations 02 NCAC 52J .0407* 22:09 NCR 

Trainers 02 NCAC 52J .0408* 22:09 NCR 

Probationary Euthanasia Technicians 02 NCAC 52J .0409* 22:09 NCR 

Exam Required 02 NCAC 52J .0410 22:09 NCR 

New Application 02 NCAC 52J .0411* 22:09 NCR 

Issuance of Certification 02 NCAC 52J .0412 22:09 NCR 

Length of Certification 02 NCAC 52J .0413* 22:09 NCR 

Termination of Employment 02 NCAC 52J .0414 22:09 NCR 

Notice of Termination 02 NCAC 52J .0415 22:09 NCR 

Recertification 02 NCAC 52J .0416* 22:09 NCR 

Certification Renewal 02 NCAC 52J .0417* 22:09 NCR 

Duties 02 NCAC 52J .0418* 22:09 NCR 

Grounds for Discipline - Certified Euthanasia 

02 NCAC 52J .0419* 22:09 NCR 

Technicians 

Intracardiac Injection 02 NCAC 52J .0501* 22:09 NCR 

Carbon Monoxide Equipment 02 NCAC 52J .0601* 22:09 NCR 

Dead Animals 02 NCAC 52J .0603* 22:09 NCR 

Individual Separation 02 NCAC 52J .0604* 22:09 NCR 

Chamber Requirements 02 NCAC 52J .0605* 22:09 NCR 

Inspections and Records 02 NCAC 52J .0606* 22:09 NCR 

Cleaning Chamber 02 NCAC 52J .0607* 22:09 NCR 

Operational Guides and Instruction Manuals 02 NCAC 52J .0608* 22:09 NCR 

Persons Required to be Present 02 NCAC 52J .0609* 22:09 NCR 

Methods of Euthanasia Permitted Under Extraordinary 02 NCAC 52J .0701* 22:09 NCR 

Circu... 

Gunshot or Other Methods 02 NCAC 52J .0702* 22:09 NCR 

Methods and Standards 02 NCAC 52J .0703* 22:09 NCR 

Technician Not Required 02 NCAC 52J .0704* 22:09 NCR 

Reports 02 NCAC 52J .0705* 22:09 NCR 

Manual Required 02 NCAC 52J .0801 22:09 NCR 

Contents 02 NCAC 52J .0802* 22:09 NCR 

Additional Contents 02 NCAC 52J .0803* 22:09 NCR 

TITLE 02 – DEPARTMENT OF AGRICULTURE AND 

CONSUMER SERVICES 

02 NCAC 52J .0401 ADOPTION BY REFERENCE 

A person required to obtain a certificate of registration pursuant 

to G.S. 19A, Article 3 may use any method of euthanasia 

approved by the American Veterinary Medical Association 

(AVMA), the Humane Society of the United States (HSUS), or 


787


the American Humane Association (AHA) which are hereby 

incorporated by reference, including subsequent amendments 

and editions. Copies of these documents may be obtained as 

follows: 

(1) AVMA Guidelines on Euthanasia may be 

accessed at no cost on their website at 

www.avma.org. 

(2) The HSUS Euthanasia Training Manual can be 

purchased through their website at 

www.hsus.org at a cost of nineteen dollars and 

ninety-five cents ($19.95). 

(3) The AHA publication, Euthanasia by 

Injection, can be purchased through their 

website at www.americanhumane.org at a cost 

of ten dollars ($10.00). 

History Note: Authority G.S. 19A-24; 

Eff. Pending Legislative Review. 

02 NCAC 52J .0402 AUTHORIZED PERSONS 

Only a Certified Euthanasia Technician, Probationary 

Euthanasia Technician, or a veterinarian licensed to practice 

veterinary medicine in North Carolina may euthanize an animal 

in a certified animal shelter. A Certified Euthanasia Technician 

shall not euthanize animals using a method for which he or she 

is not currently certified except as specified in 02 NCAC 52J 

.0700. 



02 NCAC 52J .0403 DEFINITIONS 

As used in this Subchapter: 

(1) "Certified Euthanasia Technician" means a 

person employed by a certified facility who 

has been instructed in the proper methods of 

humane euthanasia, security and record 

keeping. 

(2) "Certified facility" means a certified animal 

shelter, kennel or pet shop that employs at 

least one Certified Euthanasia Technician or 

licensed veterinarian to perform euthanasia on 

animals at that certified facility. 

(3) "Approved Certified Euthanasia Technician 

trainer" means a person or organization that 

received permission from the Animal Welfare 

Section to provide training to applicants or 

individuals seeking to be Certified Euthanasia 

Technicians. 

(4) "Chemical Agent" means any chemical 

approved by the American Veterinary Medical 

Association, the Humane Society of the United 

States or the American Humane Association 

which is used to induce death. 

(5) "Applicant" means a person seeking 

certification as a Euthanasia Technician. 

(6) "Commercially manufactured chamber" means 

a chamber built with the intention for sale with 

the purpose of euthanizing animals, and which 

meets the requirements of 02 NCAC 52J 

.0600. 

(7) "Conviction of a criminal offense" means 

being found guilty, convicted, placed on 

probation or entering a guilty plea that is 

accepted by the court, forfeiture of bail, bond 

or collateral deposited to secure one's own 

appearance in a criminal proceeding or having 

received a withheld judgment, prayer for 

judgment continued or suspended sentence by 

a court of competent jurisdiction in this state, 

in a federal court or another state of any 

felony, as described by federal or state law, or 

any criminal act that in any way is related to 

practicing as a Certified Euthanasia 

Technician. 



02 NCAC 52J .0404 CERTIFICATION 

REQUIREMENTS FOR EUTHANASIA TECHNICIANS 

(a) Individuals who perform euthanasia must be trained and 

qualified as a Certified Euthanasia Technician as set forth in this 

Section. 

(b) Individuals seeking certification as a Euthanasia Technician 

shall submit a written application documenting their 

qualifications to the Animal Welfare Section, North Carolina 

Department of Agriculture and Consumer Services, 1030 Mail 

Service Center, Raleigh, NC 27699-1030, on the form provided 

by the Animal Welfare Section. 

(c) The Animal Welfare Section shall receive and review all 

applications for Euthanasia Technician certification and 

determine whether or not to issue the individual applicant proof 

of certification in the form of a printed certificate. 



02 NCAC 52J .0405 CERTIFICATION STANDARDS 

Applicants for certification as a Certified Euthanasia Technician 

shall be at least 18 years of age at the date they receive 

certification. Applicants are not eligible for certification if they 

have been convicted of a felony offense or a crime or infraction 

involving animal abuse or neglect and shall demonstrate 

compliance with this Section. 



02 NCAC 52J .0406 APPLICATION 

REQUIREMENTS 

An applicant for certification shall: 

(1) submit a completed and signed application 

form; 

(2) provide a document from an approved 

Certified Euthanasia Technician trainer 

establishing that the applicant has completed 

an approved course, passed the course written 


788


examination and passed a practical 

examination in the specific euthanasia 

techniques for which the applicant is seeking 

certification, or provide separate 

documentation of having taken an approved 

course and passed the written examination and 

having passed a practical examination given 

by a different approved Certified Euthanasia 

Technician trainer; and 

(3) specify in the application form the specific 

euthanasia techniques the applicant is 

requesting certification. 



02 NCAC 52J .0407 TRAINING AND 

EXAMINATIONS 

(a) Training and examinations for euthanasia certification shall 

consist of: 

(1) Classroom lecture covering the entire list of 

subjects in Paragraph (b) of this Rule; 

(2) Earning a score of 80 percent correct on a 

written test provided by the Animal Welfare 

Section, demonstrating knowledge of the 

subjects listed in Paragraph (b) of this Rule; 

and 

(3) Passing a practical examination in each of the 

euthanasia methods for which the applicant is 

seeking certification. 

(b) The Animal Welfare Section shall develop Certified 

Euthanasia Technician training programs and materials or 

accredit training programs and materials to be offered by other 

individuals, schools, agencies or veterinary practices. The 

programs and materials shall conform to the processes set forth 

by the American Veterinary Medical Association, the Humane 

Society of the United States or the American Humane 

Association and shall include the following topics: 

(1) The theory and history of euthanasia methods 

and practice; 

(2) Animal anatomy; 

(3) Proper animal restraint, handling and methods 

for controlling animal stress; 

(4) Proper chemical agent dosages, record keeping 

and usage documentation, chemical agent, 

instrument and equipment storage, handling 

and disposal in accordance with rules and the 

Code of Federal Regulations; 

(5) Proper injection techniques; 

(6) Proper euthanasia techniques not utilizing 

injected chemical agents; 

(7) Proper and accurate verification of animal 

death; 

(8) Proper record keeping; 

(9) Proper disposal of euthanized animals; 

(10) Stress management for euthanasia personnel; 

(11) Proper methods and techniques of euthanasia 

under extraordinary circumstances; 

(12) Proper methods, techniques and chemicals 

inducing anesthesia and sedation in animals 

prior to euthanasia; and 

(13) Proper methods, techniques and chemicals 

used in the practical examination section for 

Certified Euthanasia Technician. 

(c) The Animal Welfare Section shall prepare written 

examinations to be given to applicants. Following the classroom 

training detailed in Paragraph (b) of this Rule, the applicant shall 

take a written examination provided by the Animal Welfare 

Section that will be used by the approved trainer. Those passing 

the written examination are eligible for the practical examination 

of the methods of euthanasia for which the applicant seeks 

certification. 

(d) The applicant must pass a practical examination on each 

method of euthanasia for which he or she seeks certification. 

(e) Applicants for certification in Euthanasia by Injection shall 

demonstrate the following knowledge and competencies: 

(1) Correctly calculate chemical agent dosage 

based upon the species, age, weight and 

condition of the animal; 

(2) Correctly complete all required 

documentation; 

(3) Correctly draw the properly calculated 

chemical dosage into a syringe and needle of a 

type and size appropriate for the animal; 

(4) Correctly administer the chemical agent to the 

animal; 

(5) Properly perform intravenous and 

intraperitoneal injections on dogs and 

intravenous or intraperitoneal injections on 

cats; 

(6) Knowledge of the medical procedures and 

drugs necessary for an animal to be euthanized 

by cardiac injection; 

(7) Demonstrate ability to verify death by: 

(A) lack of respiration; 

(B) lack of ocular reflexes; 

(C) lack of a heartbeat; 

(8) Knowledge about the human health risks 

associated with the use of chemical agents 

used for euthanasia including signs and 

symptoms associated with accidental exposure 

of the Certified Euthanasia Technician; 

(9) Proper first aid for a person accidentally 

exposed to chemical agents used for 

euthanasia. 

(f) Applicants for certification in Euthanasia by Gas Inhalation 

shall meet the standards set forth in this Paragraph: 

(1) Demonstrate knowledge of the dangers and 

human health effects of exposure to carbon 

monoxide gas; 

(2) Demonstrate knowledge about which animals 

Euthanasia by Gas Inhalation is approved and 

which species, age, medical or physical 

conditions make it improper to use Euthanasia 

by Gas Inhalation; 

(3) Demonstrate proper techniques in placing 

animals into the chamber; 


789


(4) Demonstrate knowledge about the 

maintenance, operation and cleaning of the 

chamber, fittings, gas cylinder, valves, and 

other parts of the equipment; 

(5) Demonstrate proper operation of the chamber; 

(6) Demonstrate ability to verify death by: 

(A) lack of respiration; 

(B) lack of ocular reflexes; 

(C) lack of a heartbeat; 

(7) Demonstrate knowledge about the human 

health risks associated with the use of carbon 

monoxide when used for euthanasia. Such 

knowledge shall also include signs and 

symptoms associated with accidental exposure 

of the Certified Euthanasia Technician; 

(8) Demonstrate knowledge of proper first aid for 

a person accidentally exposed to carbon 

monoxide used for euthanasia. 



02 NCAC 52J .0408 TRAINERS 

(a) Certified Euthanasia Technician training shall be provided by 

the Animal Welfare Section or by companies or individuals 

meeting the following criteria: 

(1) Possess working knowledge of euthanasia 

conducted according to this Section; 

(2) Have actual experience in euthanasia of 

animals; 

(3) Have experience training staff in euthanasia; 

and 

(4) Provide references from individuals or 

organizations previously trained. 

(b) Information taught shall conform to this Section and the 

guidelines set forth by the American Veterinary Medical 

Association, the Humane Society of the United States or the 

American Humane Association. 

(c) Trainers shall disclose to their students and the Animal 

Welfare Section any affiliations with suppliers of equipment or 

supplies used in euthanasia. 

(d) The Animal Welfare Section may make unannounced audit 

of instruction and testing by trainers. 

(e) Prior to providing euthanasia training leading to certification 

as a Euthanasia Technician, the person or company shall obtain 

approval before each class for its training program from the 

Animal Welfare Section. 



02 NCAC 52J .0409 PROBATIONARY EUTHANASIA 

TECHNICIANS 

An individual who has passed the written exam, but has not 

taken and passed the practical examination may serve as a 

Probationary Euthanasia Technician under the direct supervision 

of: 

(1) a licensed veterinarian; or 

(2) a Certified Euthanasia Technician 

for up to three consecutive months or until such time as the next 

practical euthanasia exam is conducted, whichever is longer. 

Certified animal shelters employing probationary euthanasia 

technicians must notify the Animal Welfare Section no later than 

five days prior to the probationary euthanasia technician’s first 

day serving in that capacity. 



02 NCAC 52J .0410 EXAM REQUIRED 

An individual who has not passed the written exam may not 

serve as a Certified Euthanasia Technician or Probationary 

Euthanasia Technician. 



02 NCAC 52J .0411 NEW APPLICATION 

If the individual or applicant fails to pass the practical exam a 

second time and wishes to apply for certification again, the 

individual shall submit a new application to the Animal Welfare 

Section, attend a training program, pass the written exam and 

take and pass a practical examination on euthanasia. The 

Animal Welfare Section shall cancel the application of any 

applicant who fails the written examination twice. 



02 NCAC 52J .0412 ISSUANCE OF CERTIFICATION 

Upon the receipt of materials specified in this Section the 

Animal Welfare Section shall issue a Certificate. 



02 NCAC 52J .0413 LENGTH OF CERTIFICATION 

A Certificate issued by the Animal Welfare Section is valid for 

five years from the date of issuance unless it is revoked pursuant 

to this Section or upon termination of employment or volunteer 

status as described in this Section. 



02 NCAC 52J .0414 TERMINATION OF 

EMPLOYMENT 

Upon termination of employment or volunteer status from a 

certified facility, a Certified Euthanasia Technician shall not 

perform animal euthanasia in a certified facility until recertified 

by the Animal Welfare Section. The Certified Euthanasia 

Technician’s certification shall be canceled effectively upon 

termination of employment or volunteer status. No later than 10 

days from the date of the termination of a Certified Euthanasia 

Technician’s employment or volunteer status at that certified 

facility the Certified Euthanasia Technician shall complete a 

form notifying the Animal Welfare Section of the termination of 


790


employment or volunteer status and shall return the form and the 

Certificate to the Animal Welfare Section. 



02 NCAC 52J .0415 NOTICE OF TERMINATION 

A certified facility shall notify the Animal Welfare Section in 

writing, no later than 10 days from the date of the termination of 

a Certified Euthanasia Technician's employment or volunteer 

status at that certified facility. 



02 NCAC 52J .0416 RECERTIFICATION 

(a) If a former Certified Euthanasia Technician is employed or 

is accepted as a volunteer at a certified facility before the 

expiration of his certification, the former Certified Euthanasia 

Technician or employer may request reinstatement of his/her 

certification from the Animal Welfare Section. The reinstated 

Certification shall be good for five years from the date of its 

initial issue. 

(b) If a former Certified Euthanasia Technician is employed or 

is accepted as a volunteer at a certified facility after the 

expiration of his certification, the former Certified Euthanasia 

Technician may only euthanize animals under the direct 

supervision of a licensed veterinarian or currently certified 

euthanasia technician for three months or until he/she passes 

practical examination whichever is less. The former Certified 

Euthanasia Technician and the manager of the certified facility 

shall each notify the Animal Welfare Section within 10 days of 

the date the former Certified Euthanasia Technician is employed 

or accepted as a volunteer. 



02 NCAC 52J .0417 CERTIFICATION RENEWAL 

(a) Certifications may be renewed every five years provided 

that: 

(1) within the 12 months immediately preceding 

the application for certification renewal the 

Certified Euthanasia Technician has taken and 

passed a practical examination for each 

method of euthanasia for which they are 

seeking certification renewal; 

(2) the applicant receives up-to-date information 

about the method of euthanasia for which the 

applicant is seeking certification; and 

(3) the applicant receives training in stress 

management. 

(b) The applicant shall submit an application for certification 

renewal to the Animal Welfare Section. The application shall be 

on a form created by the Animal Welfare Section and shall 

include a document from an approved Certified Euthanasia 

Technician trainer establishing that the applicant has passed a 

practical examination in the specific euthanasia techniques for 

which he or she is seeking certification. 



02 NCAC 52J .0418 DUTIES 

A Certified Euthanasia Technician may: 

(1) Prepare animals for euthanasia; 

(2) Record the identification number of the 

animal, its species, sex, breed description and 

date, dosages for drugs that are administered 

and amounts for drugs wasted; 

(3) Order euthanasia supplies; 

(4) Maintain the security of all controlled 

substances and other drugs in accordance with 

applicable state and federal laws and 

regulations; 

(5) Directly supervise probationary Euthanasia 

Technicians; 

(6) Report to the appropriate government agencies 

violations or suspicions of a violation of the 

rules in this Subchapter or any abuse of drugs; 

(7) Euthanize animals; 

(8) Dispose of euthanized animals and expired or 

unwanted chemical agent(s) or the containers, 

instruments and equipment used in the 

administration of drugs in accordance with all 

applicable federal, state and local laws and 

regulations; and 

(9) Notify the Animal Welfare Section as required 

in this Section upon leaving employment or 

volunteer status at a covered facility. 



02 NCAC 52J .0419 GROUNDS FOR DISCIPLINE – 

CERTIFIED EUTHANASIA TECHNICIANS 

The Department may refuse to issue, renew, or reinstate the 

certification of a Euthanasia Technician, or may deny, revoke, 

suspend, sanction, or place on probation, impose other forms of 

discipline, and enter into consent agreements and negotiated 

settlements with Certified Euthanasia Technician pursuant to the 

procedures set forth in G.S. 150B, Article 3, for any of the 

following reasons: 

(1) Failure to Carry Out Duties. Failure to carry 

out the duties of a Certified Euthanasia 

Technician; 

(2) Abuse of Chemical Substances. Abuse of any 

drug or chemical substance by: 

(a) Selling, diverting or giving away 

drugs or chemical substances; 

(b) Stealing drugs or chemical 

substances; 

(c) 

(d) 

Misusing chemical substances; or 

Abetting anyone in the foregoing 

activities; 

(3) Euthanizing animals without supervision as 

required by this subchapter; 

(4) Allowing uncertified individuals to euthanize 

animals; 


791


(5) Allowing probationary Euthanasia Technicians 

to euthanize animals outside of the Certified 

Euthanasia Technician's personal presence; 

(6) Fraud, misrepresentation, or deception in 

obtaining certification; 

(7) Unethical or Unprofessional Conduct. 

Unethical or unprofessional conduct means to 

knowingly engage in conduct of a character 

likely to deceive or defraud the public. Such 

conduct includes working in conjunction with 

any agency or person illegally practicing as a 

Certified Euthanasia Technician; failing to 

provide sanitary facilities or apply sanitary 

procedures for the euthanizing of any animal; 

euthanizing animals in a manner that 

endangers the health or welfare of the public; 

gross ignorance, incompetence or inefficiency 

in the euthanizing of animals as determined by 

the practices generally and currently followed 

and accepted as approved by the American 

Veterinary Medical Association, the Humane 

Society of the United States or the American 

Humane Association; intentionally performing 

a duty, task or procedure involved in the 

euthanizing of animals for which the 

individual is not qualified; and swearing 

falsely in any testimony or affidavits relating 

to practicing as a Certified Euthanasia 

Technician; 

(8) Conviction of any criminal offense as 

described in this Section; 

(9) Improper Record Keeping. Failure to follow 

proper record keeping procedures as outlined 

in the rules in this Subchapter; 

(10) Improper Security and Storage for Chemical 

Agents. Failure to provide and maintain 

proper security and storage for euthanasia and 

restraint drugs as established under applicable 

United States Drug Enforcement 

Administration and North Carolina 

Department of Health and Human Services 

statutes and rules; 

(11) Improper Disposal of Chemical Agents and 

Equipment. Failure to dispose of drugs and 

the containers, instruments and equipment in a 

manner permitted by this Subchapter; 

(12) Improper Labeling of Approved Chemical 

Agents. Failure to properly label approved 

euthanasia and restraint chemical agents; 

(13) Revocation, Suspension or Limitation. The 

revocation, suspension, limitation, of a license, 

certificate or registration or any other 

disciplinary action by another state or United 

States jurisdiction or voluntary surrender of a 

license, certificate or registration by virtue of 

which one is licensed, certified or registered to 

practice as a Certified Euthanasia Technician 

in that state or jurisdiction on grounds other 

than nonpayment of the renewal fee; 

(14) Failure of any applicant or certificate holder to 

cooperate with the North Carolina Department 

of Agriculture and Consumer Services during 

any investigation or inspection. 



02 NCAC 52J .0501 INTRACARDIAC INJECTION 

Intracardiac injection shall only be used on animals that have 

been anesthetized or heavily sedated. 



02 NCAC 52J .0601 CARBON MONOXIDE 

EQUIPMENT 

If carbon monoxide is used for euthanasia in a certified facility, 

the following requirements shall be met: 

(1) Only commercially compressed, bottled gas 

shall be used; 

(2) The gas shall be delivered in a commercially 

manufactured chamber that allows for the 

individual separation of animals; 

(3) Animals placed inside of the chamber shall be 

of the same species; 

(4) The chamber shall achieve a minimum six 

percent uniform concentration of carbon 

monoxide within two minutes of beginning the 

administration of the gas; 

(5) Death shall occur within five minutes of 

beginning the administration of the gas; and 

(6) Animals shall remain in the chamber with 

carbon monoxide for a minimum of 20 

minutes. 


Eff. Pending Legislative Review.. 

02 NCAC 52J .0603 DEAD ANIMALS 

Live animals shall not be placed into a euthanasia chamber with 

dead animals in certified facilities. 



02 NCAC 52J .0604 INDIVIDUAL SEPARATION 

Animals shall be individually separated within a euthanasia 

chamber in a certified facility. 



02 NCAC 52J .0605 CHAMBER REQUIREMENTS 

(a) A euthanasia chamber in a certified facility shall be located 

in a well-ventilated place, preferably outdoors. 

(b) The chamber shall be in good working order. 

(c) The chamber shall have strong airtight seals around the 

doors and viewports. 


792


(d) The chamber shall have at least one port for viewing of the 

animals during euthanasia. 

(e) The chamber shall be lit sufficiently to allow observation of 

an animal in any part of the chamber. 

(f) Any chamber electrical wiring or components exposed to 

carbon monoxide must be warranted by the manufacturer to be 

explosion proof. 

(g) Any light inside of the chamber shall be shatterproof. 

(h) The chamber shall use exhaust ventilation to evacuate the 

gas from the chamber before the doors are opened upon 

completion of the process. 

(i) If the chamber is located outdoors: 

(1) The exhaust shall be vented at least eight feet 

above ground level. 

(2) The minimum stack velocity shall be at least 

3,000 feet per minute; 

(3) If there is a roof above the chamber, the 

exhaust shall be vented at least three feet 

above the highest point of the roof; and 

(4) The exhaust shall not be located within eight 

feet of any building air intakes. 

(j) If the chamber is located indoors: 

(1) The exhaust shall be vented to the outdoors at 

least three feet above the highest point of the 

roof; 

(2) The exhaust shall not be located within eight 

feet of any building air intakes; 

(3) The minimum stack velocity shall be at least 

3,000 feet per minute; and 

(4) At least two carbon monoxide detectors shall 

be placed in the room. 



02 NCAC 52J .0606 INSPECTIONS AND RECORDS 

(a) Chamber seals, exhaust flow, carbon monoxide monitors and 

other equipment used in the euthanasia process in certified 

facilities shall be inspected at least monthly and repaired or 

replaced as necessary. 

(b) The chamber must be inspected at least annually by the 

manufacturer, its authorized representative or an industrial 

hygienist knowledgeable about the manufacture and operation of 

the chamber. 

(c) A record shall be made of each inspection recording the 

results, the date of the inspection, and the name of the person 

performing the inspection. The record shall be maintained in the 

policy and procedure manual for at least two years. 



02 NCAC 52J .0607 CLEANING CHAMBER 

A euthanasia chamber at a certified facility shall be cleaned 

between uses. 



02 NCAC 52J .0608 OPERATIONAL GUIDES AND 

INSTRUCTION MANUALS 

Current operational guides and maintenance instruction manuals 

shall be kept in the room with the euthanasia chamber at all 

times in a certified facility. 



02 NCAC 52J .0609 PERSONS REQUIRED TO BE 

PRESENT 

A euthanasia chamber in a certified facility shall not be operated 

unless a Certified Euthanasia Technician or a veterinarian 

licensed in North Carolina and one other adult are present at the 

time of its use. 



02 NCAC 52J .0701 METHODS OF EUTHANASIA 

PERMITTED UNDER EXTRAORDINARY 

CIRCUMSTANCES AND SITUATIONS 

For purposes of this Section, extraordinary circumstance or 

situation includes a situation which is offsite from the shelter, in 

which an animal poses an immediate risk to animal, human or 

public health and in which no alternative, less extreme measure 

of euthanasia is feasible. It also includes circumstances or 

situations in which it would be inhumane to transport an animal 

to another location to perform euthanasia. 



02 NCAC 52J .0702 GUNSHOT OR OTHER 

METHODS 

Under extraordinary circumstances and situations which occur 

offsite from the shelter, a shelter employee may use gunshot or 

other extreme method of euthanasia as set forth in the American 

Veterinary Medical Association, Humane Society of the United 

States or American Humane Association Guidelines 

incorporated by reference in 02 NCAC 52J .0401. 



02 NCAC 52J .0703 METHODS AND STANDARDS 

Methods of euthanasia used by a certified facility under an 

extraordinary circumstance or situation must be approved by the 

American Veterinary Medical Association, the Humane Society 

of the United States or the American Humane Association for 

use on that species of animal and must conform to standards set 

forth by that organization. 



02 NCAC 52J .0704 TECHNICIAN NOT REQUIRED 

If an extraordinary circumstance or situation occurs and 

euthanasia is necessary, the person performing the euthanasia is 


793


not required to be a Certified Euthanasia Technician at a 

certified facility. 



02 NCAC 52J .0705 REPORTS 

A licensee or registrant shall prepare a report of any euthanasia 

performed under extraordinary circumstances or situations, and 

keep the report on file for at least two years. The report shall 

include the date, time, identification of the animal, the name of 

the person performing the final euthanasia, the method of 

euthanasia and the reason for euthanasia of the animal as 

permitted by this Section. 



02 NCAC 52J .0801 MANUAL REQUIRED 

Any animal shelter performing euthanasia shall have a current 

policy and procedure manual about euthanasia. 



02 NCAC 52J .0802 CONTENTS 

The policy and procedure manual shall set forth the shelter's 

equipment, process, and the procedures for individual separation 

of animals. 



02 NCAC 52J .0803 ADDITIONAL CONTENTS 

A certified facility's policy and procedure manual shall be kept 

consistent with the publications listed below and reflect the 

current information for each. The manual shall include: 

(1) A copy of the current North Carolina Animal 

Welfare Act and the rules in this Subchapter; 

(2) A copy of the 2000 Report of the American 

Veterinary Medical Association Panel on 

Euthanasia and any future revisions, 

replacements, supplements or changes thereto 

issued by that organization; 

(3) A current copy of the Euthanasia Training 

Manual of the Humane Society of the United 

States; 

(4) A copy of the publication on euthanasia by the 

American Humane Association; 

(5) A list of methods of euthanasia allowed at the 

shelter and the policy and procedures for each 

method; 

(6) A list of Certified Euthanasia Technicians, the 

methods of euthanasia in which they have 

received training, and the date of training; 

(7) The name, address and contact information for 

the veterinarian responsible for the Annual 

Program of Veterinary Care; 

(8) The name, address and contact information for 

veterinarians responsible for the veterinary 

medical care of the animals. The contact 

information shall include telephone numbers 

for working hours, weekends, nights and 

holidays; 

(9) Euthanasia procedure to use in emergencies, 

after hours, holidays and weekends; 

(10) Procedures to follow if no Certified Euthanasia 

Technician is present and euthanasia of an 

animal is necessary; 

(11) Methods of verifying death of an animal after 

a euthanasia process is performed; 

(12) The name and contact information of the 

supplier of materials. It shall include: 

(a) 

(b) 

Bottled gas (if applicable); 

Manufacturer of the chamber used to 

euthanize animals by inhalant gas (if 

applicable); 

(c) Injectable euthanasia solution; 

(d) Tranquilizer or anesthetic solution; 

(13) Original of U.S. Drug Enforcement 

Administration certification permitting the use 

of controlled substances; 

(14) A material safety data sheet for any chemical 

or gas used for euthanasia in that shelter; 

(15) A material safety data sheet for any anesthetic 

or tranquilizer used in that facility; 

(16) Notice of the signs and symptoms associated 

with human exposure to the agents used for 

euthanasia at the facility; 

(17) First aid for people accidentally exposed to the 

agents used for euthanasia at the facility; and 

(18) Contact information of the physician or 

medical facility providing medical treatment to 

employees of the facility. The information 

shall include the name of the medical facility, 

the telephone number for both working and 

after-hours contact and directions to the 

medical facility from the certified facility 

including a map. If the medical facility does 

not provide service after-hours, on weekends 

or on holidays, there must be contact 

information as described in this item for the 

nearest medical facility, urgent care clinic or 

emergency room that does provide care during 

that time. 



TITLE 10A – DEPARTMENT OF HEALTH AND HUMAN 

SERVICES 

10A NCAC 13D .3201 REQUIRED SPACES 

(a) The net floor area of a single bedroom shall not be less than 

100 square feet and the net floor area of a room for more than 


794


one bed shall not be less than 80 square feet per bed. The 80 

square feet and 100 square feet requirements shall be exclusive 

of closets, toilet rooms, vestibules or wardrobes. When a 

designated single room exceeds 159 net square feet in floor area, 

it shall remain a single bedroom and cannot be used as a 

multi-bedroom unless approved in advance by the Division to 

meet the requirements of G.S. 131E, Article 9. 

(b) The total space set aside for dining, recreation and other 

common use shall not be less than 25 square feet per bed for a 

nursing facility and 30 square feet per bed for the adult care 

home portion of a combination facility. Physical therapy, 

occupational therapy and rehabilitation space shall not be 

included in this total. 

(c) In nursing facilities, included in the total square footage 

required by Rule .3201(b) of this Section, a separate dining area 

or areas at a minimum of 10 square feet per bed shall be 

provided and a separate activity area or areas at a minimum of 

10 square feet per bed shall be provided. The remainder of the 

total required space for dining and activities may be in a separate 

area or combined with either of the required dining or activity 

areas. 

(d) In combination facilities, included in the total square footage 

required by Rule .3201(b) of this Section, a separate dining area 

or areas at 14 square feet per adult care home bed shall be 

provided. The adult care home dining area or areas may be 

combined with the nursing facility dining area or areas. A 

separate activity area or areas for domiciliary beds shall be 

provided at 16 square feet per domiciliary bed. The adult care 

home activity area may not be combined with the activity area or 

areas required for nursing beds. 

(e) Dining, activity, and living space shall be designed and 

equipped to provide accessibility to both patients confined to 

wheelchairs and ambulatory patients. Required dining, activity, 

and living areas shall have windows with views to the outside. 

The glazing material for the windows shall not be less than eight 

percent of the floor area required for each dining, activity, or 

living space. 

(f) Closets and storage units for equipment and supplies shall 

not be included as part of the required dining, activity, and living 

floor space area. 

(g) Handicap accessible outdoor areas for individual and group 

activities shall be provided. 

(h) For nursing beds, separate bedroom closets or wardrobes 

shall be provided in each bedroom to provide each occupant 

with a minimum of 36 cubic feet of clothing storage space at 

least half of which is for hanging clothes. 

(i) For adult care home beds, separate bedroom closets or 

wardrobes shall be provided in each bedroom to provide each 

adult care home resident with a minimum of 48 cubic feet of 

clothing storage space at least half of which is for hanging 

clothes. 

(j) Some means for patients and residents to lock personal 

articles within the facility shall be provided. 

(k) A toilet room shall be directly accessible from each patient 

room and from each central bathing area without going through 

the general corridor. One toilet room may serve two patient 

rooms but not more than eight beds. The lavatory may be 

omitted from the toilet room if one is provided in each patient 

room. One tub or shower shall be provided for each 15 beds not 

individually served. There shall be at least one bathtub 

accessible on three sides and one shower provided for each 60 

beds or fraction thereof. 

(l) For each nursing unit, or fraction thereof on each floor, the 

following shall be provided: 

(1) a medication preparation area with a counter, a 

sink with four-inch faucet trim handles, a 

medication refrigerator, eye level medication 

storage, cabinet storage and double locked 

narcotic storage room, located adjacent to the 

nursing station or under visual control of the 

nursing station; 

(2) a clean utility room with counter, sink with 

four-inch handles, wall and under counter 

storage; 

(3) a soiled utility room with counter, sink with 

four-inch handles, wall and under counter 

storage, a flush-rim clinical sink or water 

closet with a device for cleaning bedpans and a 

means for washing and sanitizing bedpans and 

other utensils; 

(4) a nurses' toilet and locker space for coats, 

purses, and personal belongings; 

(5) an audio-visual nurse-patient call system 

arranged to ensure that a patient's call in the 

facility is noted at a staffed station; 

(6) a soiled linen storage room; 

(7) a clean linen storage room; 

(8) a nourishment station in an area enclosed with 

walls and doors which contains work space, 

cabinets and refrigerated storage, and a small 

stove, microwave oven or hot plate; and 

(9) one nurses' station consisting of desk space for 

writing, storage space for office supplies, 

storage space for patients' records and space 

for nurses' call equipment. 

(m) Clean linen storage shall be provided in a separate room 

from bulk supplies. Clean linen for nursing units may be stored 

in closed carts, or cabinets in the clean utility room, or in a linen 

closet on the unit floor. 

(n) A soiled linen room shall be provided. 

(o) Each nursing unit shall be provided with at least one janitor's 

closet. The kitchen area and laundry area each shall have a 

janitor's closet. Administration, occupational and physical 

therapy, recreation, personal care and employee facilities shall 

be provided janitor's closets and may share one as a group. 

(p) Stretcher and wheelchair storage shall be provided. 

(q) Bulk storage shall be provided at the rate of five square feet 

of floor area per bed. 

(r) Office space shall be provided for persons holding the 

following positions: administrator, director of nursing, social 

services director, activities director and physical therapist. 

There shall also be a business office. 

(s) Each combination facility shall provide a minimum of one 

residential washer and residential dryer located to be accessible 

by adult care home staff, residents, and family, unless personal 

laundry service is provided by the facility. 

History Note: 

Authority G.S. 131E-104; 


795


Eff. January 1, 1996; 

Amended Eff. October 1, 2008. 

* * * * * * * * * * * * * * * * * * * * * 

10A NCAC 46 .0301 MINIMUM STANDARD 

HEALTH DEPARTMENT: STAFFING 

In addition to meeting the requirements in 10A NCAC 48B 

.0103, to be accredited pursuant to G.S. 130A-34.1, a local 

health department shall meet the following requirements: 

(1) The local health department shall employ a 

full-time health director, a full-time public 

health nurse, a full-time registered sanitarian, 

and a full-time secretary. For this Rule, fulltime 

means the employee is employed to work 

a standard work week of the local health 

department. However, the local health 

department may share a local health director 

with one or more other local health 

departments. 

(2) All local health department nurses shall either: 

(a) Have a nursing degree from a 

baccalaureate school accredited by 

the National League for Nursing or 

the Commission on Collegiate 

Nursing Education; or 

(b) Complete within one year of 

employment with the health 

department an introductory course in 

principles and practices of public 

health and public health nursing 

sponsored by the Department. The 

curriculum for the course shall be 

developed by the Department with 

input from local health departments 

and schools of nursing. 

History Note: Authority G.S. 130A-5(3); 130A-9; 130A-34.1; 

Eff. February 1, 1976; 

Readopted Eff. December 5, 1977; 

Amended Eff. July 1, 1985; 

Transferred and Recodified from 10 NCAC 12 .0101 Eff. April 4, 

1990; 

Amended Eff. October 1, 2008; September 1, 1990. 

* * * * * * * * * * * * * * * * * * * * * 

10A NCAC 70F .0101 SCOPE 

The rules in this Subchapter apply to agencies that receive 

children for the purpose of placement in family foster homes, 

therapeutic foster homes, adoptive homes, and residential 

maternity homes. In addition, if agencies provide therapeutic 

foster care services, the rules in 10A NCAC 27G .0203 and 

.0204; 10A NCAC 70E; and 10A NCAC 70G apply. The North 

Carolina Department of Health and Human Services, Division of 

Social Services, is the licensing authority for child-placing 

agencies for adoption, child-placing agencies for foster care, and 

residential maternity homes. 

History Note: Authority G.S. 131D-1; 131D-10.3; 

131D-10.5; 143B-153; 


Amended Eff. January1, 2002; July 1, 1990; 

Temporary Amendment Eff. February 1, 2002; 

Amended Eff. October 1, 2008; July 18, 2002. 

10A NCAC 70F .0102 LICENSURE 

(a) Licensure is required in accordance with G.S. 131D-10.3. 

(b) Licenses shall be in effect for two years unless suspended or 

revoked. Appeal procedures specified in 10A NCAC 70L .0301 

shall apply for persons seeking an appeal of the licensing 

authority's decision to deny, suspend, or revoke a license. 

(c) Applicants shall inform the licensing authority of any 

current licenses or licenses held in the past five years for childplacing 

agencies, maternity homes, or residential child-care 

facilities in other states. Applicants shall provide written 

documentation from the licensing authority in other states 

regarding violations, penalties, or probationary status imposed in 

other states. 


131D-10.5; 143B-153; 


Amended Eff. July 18, 2002; July 1, 1990; 

Temporary Amendment Eff. July 1, 2003; 

Amended Eff. October 1, 2008; August 1, 2004. 

10A NCAC 70F .0201 GOVERNANCE 

(a) A private child-placing agency and residential maternity 

home shall have a governing body that exercises authority and 

has responsibility for its operation, policies, and practices. The 

private child-placing agency and maternity home shall notify the 

licensing authority of the type and structure of the governing 

body. 

(b) A private child-placing agency and a residential maternity 

home that operates under articles of incorporation shall file the 

articles of incorporation with the Department of the Secretary of 

State (http://www.secretary.state.nc.us) The articles shall have a 

statement of purpose that describes the geographic area to be 

served, kinds of clients to be served, and the range of services to 

be provided. An official copy of the articles of incorporation 

shall be submitted to the licensing authority. 

(c) In the case of non-profit or for-profit corporations, the 

governing body shall: 

(1) be composed of no fewer than six members to 

include men and women; 

(2) provide for a system of rotation for board 

members and limitation to the number of 

consecutive terms a member may serve; 

(3) establish standing committees; 

(4) provide orientation for new members; and 

(5) meet at least four times annually with a 

quorum present. 

(d) An agency shall submit to the licensing authority a list of 

members of the governing body. This list shall indicate the 

name, address, and term of membership of each member and 

shall identify each officer and the term of that office. 


796


(e) A governmental agency shall identify the statutory basis for 

its authority to operate a child-placing agency or a residential 

maternity home. 

(f) The agency shall permanently maintain meeting minutes of 

the governing body and committees. 

History Note: Authority G.S. 131D-1; 131D-10.5; 143B-153; 



10A NCAC 70F .0202 RESPONSIBILITIES OF THE 

GOVERNING BODY 

(a) The governing body shall provide leadership for the agency 

and shall establish the agency's policies and programs. 

(b) The governing body shall employ an executive director who 

is located in the administrative office within the geographical 

boundaries of North Carolina and delegate responsibility to that 

person for the administration and operation of the agency, 

including the employment and discharge of all agency staff. 

(c) The governing body shall require the executive director 

provide a signed statement that the executive director has no 

criminal, social or medical history that would adversely affect 

his or her capacity to work with children and adults. The 

governing body shall ensure that the criminal histories of an 

executive director are checked prior to employment and based 

on the criminal history; a determination is made concerning the 

individual's fitness for employment. The governing body shall 

ensure that searches of the North Carolina Sex Offender and 

Public Protection Registry and the North Carolina Health Care 

Personnel Registry (pursuant to G.S. 131E-256) are completed 

prior to employment, and based on these searches, a 

determination is made concerning the individual's fitness for 

employment. The governing body shall submit authorization to 

the licensing authority to search the Responsible Individuals List 

as defined in 10A NCAC 70A .0102 to determine if the 

executive director has had child protective services involvement 

resulting in a substantiation of child abuse or serious neglect, 

and based on this search, a determination is made concerning the 

individual's fitness for employment. The governing body shall 

require that the executive director provide a signed statement 

prior to employment that he or she has not abused or neglected a 

child or has been a respondent in a juvenile court proceeding that 

resulted in the removal of a child or has had child protective 

services involvement that resulted in the removal of a child. The 

governing body shall require that the executive director provide 

a signed statement that he or she has not abused, neglected or 

exploited a disabled adult and that he or she has not been a 

domestic violence perpetrator. Agencies or applicants that do 

not have a governing body shall provide this information directly 

to the licensing authority. 

(d) The governing body shall annually evaluate the executive 

director's performance except a sole proprietor or partner is 

exempt from this Rule if he or she serves as executive director. 

(e) The governing body shall approve the annual budget of 

anticipated income and expenditures necessary to provide the 

services described in its statement of purpose. Child-placing 

agencies and residential maternity homes receiving foster care 

maintenance payments of state funds or state maternity home 

funds shall submit an annual audit of their financial statements 

to the Department of Health and Human Services, Controller's 

Office in compliance with 10A NCAC 70D .0105(a)(5). 

(f) The governing body shall annually evaluate the agency's 

services. This evaluation shall include the agency's interaction 

with other community agencies to serve its clients. 

(g) The governing body shall establish in writing the policies 

and procedures for control and access to and receipt, use, or 

release of information about its clients. 

(h) The governing body of child-placing agencies providing 

foster care services shall develop a written disaster plan that is 

provided to agency personnel and foster parents. The disaster 

plan shall be prepared and updated at least annually. The 

governing body of residential maternity homes shall comply 

with 10A NCAC 70K .0315(g). 

(i) The governing body, in the event of the closing of the 

agency, shall develop a plan for the retention and storage of 

client records. The specifics of this plan shall be submitted to 

the licensing authority before the actual closing of the agency. 

History Note: Authority G.S. 131D-1; 131D-10.5; 131D- 

10.6; 143B-153; 



Temporary Amendment Eff. February 1, 2002; 


10A NCAC 70F .0203 FINANCES, FEES AND 

INSURANCE 

(a) Child-placing agencies and residential maternity homes shall 

have a written line item budget, showing planned expenditures 

and revenues available to operate the agency for a 12 month 

period. A copy of the budget shall be submitted to the licensing 

authority prior to initial licensure and biennially thereafter. 

(b) Child-placing agencies and residential maternity homes 

receiving foster care maintenance payments of state funds or 

state maternity home funds shall submit an annual audit of their 

financial statements to the Department of Health and Human 

Services, Controller's Office in compliance with 10A NCAC 

70D .0105(a)(5). 

(c) Child-placing agencies and residential maternity homes shall 

have a written policy on fees for services which shall be 

inclusive of all fees and charges. No cost beyond the written 

policy shall be imposed. The agency policy shall describe the 

relationship between fees and services provided and the 

conditions under which fees are charged or waived. The agency 

shall make the policy available to applicants for services at the 

time an application for service is made and to the public upon 

request. 

(d) Adoption agencies that provide international adoption 

services shall inform prospective adoptive parents of the 

estimated or actual expenses associated with an international 

adoption that includes: 

(1) application fees; 

(2) preplacement assessment (home study) fees; 

(3) pre-adoption service fees; 

(4) government and facilitator fees; 

(5) placement service fees; 

(6) post-placement and post-adoption service fees; 


797


(7) travel and other costs and fees in the child's 

country of origin; and 

(8) additional costs associated with the adoption. 

(e) Child-placing agencies and residential maternity homes shall 

notify the licensing authority, parents, guardian, and legal 

custodian (if applicable) of its status related to liability insurance 

for the agency and staff to applicants for services at the time an 

application for service is made. 




10A NCAC 70F .0204 AGENCY SETTING 

(a) The agency shall maintain an administrative office within 

the geographical boundaries of North Carolina from which the 

activities carried out under the North Carolina license are 

handled. 

(b) The agency shall provide and maintain office space, 

equipment and supplies to ensure the following: 

(1) confidentiality and safekeeping of records; 

(2) privacy for interviewing and conferences; and 

(3) availability of visiting rooms for families and 

children. 

(c) The current license shall be posted at all times in a 

conspicuous place in the primary administrative North Carolina 

office of the agency. 

(d) The administrative office of a child-placing agency for 

foster care and a child-placing agency for adoption shall not be 

located in a private residence that is occupied, a group home or 

maternity home that is occupied, a crisis pregnancy center or any 

other similar occupied dwelling, business, or facility. The office 

of a residential maternity home may be located in the maternity 

home. 




10A NCAC 70F .0205 RESPONSIBILITY TO 

LICENSING AUTHORITY 

(a) The agency shall submit, biennially to the licensing 

authority, the information and materials to document compliance 

with the licensure rules and to support issuance of a license. 

(b) The agency shall submit to the licensing authority a biennial 

statistical report of program activities. 

(c) The agency shall provide written notification to the licensing 

authority of a change in the executive director within 72 hours. 

(d) The agency shall provide written notification to the licensing 

authority of any changes in policies and procedures to assure 

that the changes are in compliance with the rules in Subchapters 

70E, 70F, 70G, 70H, or 70K. The agency shall receive written 

approval from the licensing authority before instituting any 

changes in policies and procedures. 

(e) Child-placing agencies for foster care shall comply with 

requirements related to the handling and reporting of critical 

incidents in accordance with 10A NCAC 70G .0513. 

Residential maternity homes shall comply with requirements 

related to the handling and reporting of critical incidents in 

accordance with 10A NCAC 70K .0210. 

(f) When there is a death of a child or resident in placement in a 

home supervised by the agency, the executive director or his or 

her designee shall notify the licensing authority within 72 hours. 

(g) The agency shall provide to the licensing authority at the 

time of license application the legal name and social security 

number of each individual who is an owner and holds at least 

five percent interest of the agency. 

(h) The agency shall provide to the licensing authority written 

notification of a change in the legal name of any owner and 

individuals holding an interest of at least five percent within 30 

days following the changes. 

(i) The agency shall notify the local management entity within 

24 hours of placement that a child may require Mental Health, 

Developmental Disability or Substance Abuse services. 

(j) If a child-placing agency for foster care is monitored by a 

local management entity, the agency shall provide data to the 

local management entity, as required by Department of Health 

and Human Services for monitoring and reporting to the General 

Assembly. 


131D-10.5; 143B-153; 





10A NCAC 70F .0206 PERSONNEL POLICIES 

(a) The agency shall have written policies for all employees 

(full-time, part-time and contracted) which include the 

following: 

(1) written job descriptions and titles for each 

position defining the qualifications, duties, and 

lines of authority; 

(2) salary scales; 

(3) a description of employee benefits; 

(4) opportunities for professional growth through 

supervision, orientation, in-service training, 

and staff development; 

(5) procedures for annual evaluation of the work 

and performance of each staff member which 

includes provision for employee participation 

in the evaluation process; 

(6) a description of the termination procedures 

established for resignation, retirement, or 

discharge; and 

(7) a written grievance procedure for employees. 

(b) The agency shall have a personnel file for each employee 

(full-time, part-time and, contracted) which includes the 

following: 

(1) the application for employment, including 

record of work experience; 

(2) documentation of at least three references; 

(3) applicable professional credentials or 

certifications (prior to employment certified 

college transcripts shall be obtained for 

positions requiring college degrees); 


798


(4) signed statement indicating the employee's 

understanding of and willingness to comply 

with confidentiality requirements; 

(5) signed statement that the employee has no 

criminal, social, or medical history which 

would adversely affect the employee's capacity 

to work with children and adults; 

(6) criminal record checks certified by the Clerk 

of Superior Court; 

(7) results of the search of the North Carolina Sex 

Offender and Public Protection Registry; 

(8) results of the search of the North Carolina 

Health Care Personnel Registry (pursuant to 

G.S. 131E-256); 

(9) results of the Responsible Individuals List as 

defined in 10A NCAC 70A .0102 that indicate 

the employee has not had child protective 

services involvement resulting in a 

substantiation of child abuse or serious 

neglect; 

(10) signed statement that the applicant has not 

abused or neglected a child, has been a 

respondent in a juvenile court proceeding that 

resulted in the removal of a child, or had child 

protective services involvement that resulted 

in the removal of a child; 


abused, neglected, or exploited a disabled 

adult; 


been a domestic violence perpetrator; 

(13) log of training; 

(14) annual performance evaluations; 

(15) documentation of disciplinary actions; 

(16) documentation of grievances files; 

(17) employee's starting and termination dates; and 

(18) reason for termination. 

(c) The agency shall have written procedures which safeguard 

the confidentiality of the personnel records. 


10.6; 143B-153; 



10A NCAC 70F .0207 STAFF 

(a) The agency shall verify prior to employment the personal 

qualifications of employees through at least three references. 

(b) The agency shall require that each applicant provide a 

signed statement that the applicant has no criminal, social or 

medical history which would adversely affect the applicant's 

capacity to work with children and adults. Prior to employment, 

the agency shall submit authorization to the licensing authority 

to search the Responsible Individuals List as defined in 10A 

NCAC 70A .0102 to determine if the applicant has had child 

protective services involvement resulting in a substantiation of 

child abuse or serious neglect, and based on this search, a 

determination is made concerning the individual's fitness for 

employment. The agency shall require that each applicant 

provide a signed statement that the applicant has not abused or 

neglected a child or has been a respondent in a juvenile court 

proceeding that resulted in the removal of a child or has had 

child protective services involvement that resulted in the 

removal of a child. Prior to employment, a certified criminal 

record check for the applicant shall be obtained, and a search 

conducted of the North Carolina Sex Offender and Public 

Protection Registry and North Carolina Health Care Personnel 

Registry (pursuant to G.S. 131E-256), and based on these 

findings, a decision is made concerning the individual's fitness 

for employment. The agency shall require that each applicant 

provide a signed statement that the applicant has not abused, 

neglected, or exploited a disabled adult, and has not been a 

domestic violence perpetrator. 

(c) The agency shall employ staff qualified to perform 

administrative, supervisory, direct care, social work, therapeutic, 

and placement services. 

(d) The agency shall have staff to keep correspondence, records, 

bookkeeping and files current and in good order. The staff shall 

maintain strict confidentiality concerning contents of the case 

records. 

(e) The agency shall maintain a roster of members of the staff 

listing position, title, and qualifications and a current 

organizational chart showing administrative structure and 

staffing, including lines of authority. The organizational chart 

shall be submitted prior to initial licensure and biennially 

thereafter. 

(f) An agency which uses volunteers and interns as unpaid staff 

to work directly with clients shall: 

(1) have written job descriptions and select only 

those persons qualified to meet the 

requirements of those jobs; 

(2) require three references relevant to the role 

and responsibilities to be assumed; 

(3) designate a staff member to supervise and 

evaluate volunteers and interns; 

(4) develop and implement a plan for the 

orientation and training of volunteers and 

interns in the philosophy of the agency and the 

needs of the clients and their families; and 

(5) require that each volunteer and intern provide 

a signed statement that they have no criminal, 

social or medical history that would adversely 

affect their capacity to work with children and 

adults. The agency shall submit authorization 

to the licensing authority to search the 

Responsible Individuals List as defined in 10A 

NCAC 70A .0102 to determine if the intern or 

volunteer has had child protective services 

involvement resulting in a substantiation of 

child abuse or serious neglect, and based on 

this search, a determination is made 

concerning the individual's fitness to serve as a 

volunteer or intern. Prior to beginning 

volunteer or intern duties, a certified criminal 

record check shall be obtained and a search 

conducted of the North Carolina Sex Offender 

and Public Protection Registry and North 

Carolina Health Care Personnel Registry 


799


(pursuant to G.S. 131E-256), and based on 

these findings, a decision is made concerning 

the individual's fitness to serve as a volunteer 

or intern. The agency shall require that each 

volunteer or intern provide a signed statement 

that the volunteer or intern has not abused or 

neglected a child, been a respondent in a 

juvenile court proceeding that resulted in the 

removal of a child, or had child protective 

services involvement that resulted in the 

removal of a child. The agency shall require 

that each volunteer or intern provide a signed 

statement that the volunteer or intern has not 

abused, neglected, or exploited a disabled 

adult and has not been a domestic violence 

perpetrator. 


10.6; 143B-153; 



10A NCAC 70F .0208 CONFIDENTIALITY 

(a) The agency shall develop and enforce a policy on 

confidentiality that will: 

(1) identify the individuals with access to or 

control over confidential information; 

(2) specify that persons who have access to 

records or specified information in a record be 

limited to persons authorized pursuant to law. 

These persons include the client; the parents or 

guardian or legal custodian when the client is a 

minor; agency staff; auditing, licensing, or 

accrediting personnel; and those persons for 

whom the agency has obtained a signed 

consent for release of confidential information; 

(3) require that when a client's information is 

disclosed, a signed consent for release of 

information is obtained on a consent for 

release form signed by the parent(s), guardian, 

legal custodian or client, if age 18 or older; 

(4) provide a secure place for the storage of 

records with confidential information; 

(5) inform any individual with access to 

confidential information of the provisions of 

this Rule; 

(6) ensure that, upon employment and whenever 

revisions are made to the policy, staff sign a 

compliance statement which indicates an 

understanding of the requirements of 

confidentiality; 

(7) permit a client to review his or her case record 

in the presence of agency personnel on the 

agency premises, in a manner that protects the 

confidentiality of other family members or 

other individuals referenced in the record, 

unless agency personnel determines the 

information in the client's case record would 

be harmful to the client; 

(8) in cases of perceived harm to the client, 

document in writing any refusals to share 

information with the client, parents, guardian 

or legal custodian; 

(9) maintain a confidential case record for each 

client; 

(10) maintain confidential personnel records for all 

employees (full-time, part-time and 

contracted); and 

(11) maintain confidential records for all volunteers 

and interns; 

(b) A child-placing agency for foster care and a residential 

maternity home may destroy in office: 

(1) the closed record of a child or resident who 

has been discharged from foster care or 

residential maternity care for a period of three 

years unless included in a federal or state fiscal 

audit or program audit that is unresolved, then 

the agency may destroy the record in office 

when released from all audits; and 

(2) a record three years after a child or resident 

has reached age 18, unless included in a 

federal fiscal audit or program audit that is 

unresolved, then the agency may destroy the 

record in office when released from all audits. 

(c) All individual children, birth parents and adoptive family 

records shall be permanently retained by the agency. After a 

period of seven years, the files may be microfilmed or scanned 

in accordance with provisions of G.S. 8-45.1, following which 

the original files may be destroyed by a shredding process. The 

adoption agency may destroy in office the closed records of 

applicants who were not accepted or who did not have a child 

placed with them three years after the date of their application, 

unless included in a federal or state fiscal audit or program audit 

that is unresolved, then the agency may destroy the record in 

office when released from all audits. 

History Note: Authority G.S. 131D-10.5; 143B-153; 

Temporary Adoption Eff. February 1, 2002; 

Eff. July 18, 2002; 


10A NCAC 70F .0209 

10A NCAC 70F .0210 



ADMINISTRATION 


CLIENT RIGHTS 

GRIEVANCE PROCEDURES 

SEARCHES 

MEDICATION 

HOME-SCHOOLING 



Eff. July 18, 2002; 

Repealed Eff. October 1, 2008. 

10A NCAC 70G .0101 



History Note: 

SCOPE 

ORGANIZATION AND 

Authority G.S. 131D-10.5; 143B-153; 


800







PRACTICES 




PERSONNEL 

INTAKE PROCEDURES AND 

CASE PLAN 

PLACEMENT SERVICES 

RECORDS 

History Note: Authority G.S. 131D-10.5; 143B-153; S.L. 

1999-237; 



Repeal Eff. October 1, 2008. 

10A NCAC 70G .0206 ASSESSMENT AND 

TREATMENT/HABILITATION OR SERVICE PLAN 

10A NCAC 70G .0207 CLIENT RECORDS FOR 

CHILDREN RECEIVING MENTAL HEALTH 

TREATMENT SERVICES 

10A NCAC 70G .0208 MEDICATION REQUIREMENTS 

10A NCAC 70G .0209 BEHAVIOR MANAGEMENT 

AND DISCIPLINE 

History Note: Authority G.S. 131D-10.5; 143B-153; S.L. 

1999-237; 






STAFFING REQUIREMENTS 

TRAINING REQUIREMENTS 


Eff. September 1, 2007; 


10A NCAC 70G .0401 SCOPE 

The rules in this Subchapter apply to persons who receive 

children for the purpose of placement in family foster homes and 

therapeutic foster homes. Persons licensed or seeking a license 

to provide family foster care and therapeutic foster care services 

for children shall comply with 10A NCAC 70C, 70D, 70E, 70F 

and 70G. In addition, persons licensed or seeking a license to 

provide therapeutic foster care services shall comply with 10A 

NCAC 27G .0203 and .0204. The North Carolina Department of 

Health and Human Services, Division of Social Services is the 

licensing authority for child-placing agencies for foster care. 


Eff. October 1, 2008. 

10A NCAC 70G .0402 DEFINITIONS 

Except when the context of the Rule indicates that the term has a 

different meaning the following definitions shall apply to the 

rules in Subchapter 70G: 

(1) "Agency" means a child placing agency as 

defined in G.S. 131D-10.2 that is authorized 

by law to receive children for purposes of 

placement in foster homes or adoptive homes. 

(2) "Family Foster Home" has the meaning as 

defined in G.S. 131D-10.2(8). 

(3) "Family Foster Care" means a planned, goaldirected 

service in which the temporary 

protection and care of children take place in a 

family foster home. Family foster care is a 

child welfare service for children and their 

parents who must live apart from each other 

for a period of time due to abuse, neglect, 

dependency, or other circumstances 

necessitating out-of-home care. 

(4) "Guardian" means an individual as defined in 

G.S. 7B-600 who is appointed by the court to 

serve as the guardian of the person for a 

juvenile. The guardian shall have the care, 

custody, and control of the juvenile or may 

arrange a suitable placement for the juvenile 

and may represent the juvenile in legal actions 

before any court. The guardian may consent 

to certain actions on the part of the juvenile in 

place of the parent including marriage, 

enlisting in the armed forces and enrollment in 

school. The guardian may also consent to any 

necessary remedial, psychological, medical, or 

surgical treatment for the juvenile. Guardian 

also means an individual appointed by the 

clerk of court in North Carolina to exercise all 

the powers conferred by G.S. 35A-1241, 

including a standby guardian appointed under 

Article 21A of Chapter 35A whose authority 

has actually commenced and also means an 

individual appointed in another jurisdiction 

according to the law of that jurisdiction who 

has the powers consistent with G.S. 35A-1241. 

(5) "Legal Custodian" means a person or agency 

that has been awarded legal custody of a 

juvenile by a court of competent jurisdiction. 

(6) "Licensing Authority" means the North 

Carolina Division of Social Services. 

(7) "Out-of-Home Family Services Agreement" is 

a Division of Social Services document 

required of all children in the custody of a 

county department of social services receiving 

family foster care services or therapeutic foster 

care services. This agreement is used to define 

the primary permanency plan; to identify the 

family's strengths and needs; to set objectives 

and case activities to assist the family in 

resolving those issues that place the child at 

risk; to specify consequences if the plan does 

or does not succeed; and to establish the 

alternative permanency plan if the primary 

plan does not succeed. The agreement must 

address the services to be provided or 

arranged; the visitation plan designed to 


801


maintain links with the family; expectations of 

the family, agency, placement provider and 

community members; target dates; and 

expected outcomes. 

(8) "Owner" means any person who holds an 

ownership interest of five percent or more of 

the applicant. A person includes a sole 

proprietor, co-owner, partner or shareholder, 

principal or affiliate, or any person who is the 

applicant or any owner of the applicant. 

(9) "Parent" means the birth parent or adoptive 

parent. 

(10) "Person-Centered Plan" is a Division of 

Mental Health, Developmental Disabilities and 

Substance Abuse Services document and must 

be completed on all children receiving 

therapeutic foster care services. The personcentered 

plan is the umbrella under which all 

planning for treatment, services and supports 

occurs. Person-centered planning begins with 

the identification of the reason the 

individual/family is requesting assistance. It 

focuses on the identification of the 

individual's/family's needs and desired life 

outcomes--not just a request for a specific 

service. The plan captures all goals and 

objectives and outlines each team member's 

responsibilities within the plan. 

(11) "Supervising Agency" means a county 

department of social services or a private 

child- placing agency that is authorized by law 

to receive children for purposes of placement 

in foster homes or adoptive homes. 

Supervising agencies are responsible for 

recruiting, training, and supporting foster 

parents. Supervising agencies recommend the 

licensure of foster homes to the licensing 

authority. 

(12) "Therapeutic Foster Care" means a foster 

home where the foster parent has received 

additional training in providing care to 

children with behavioral mental health or 

substance abuse problems. 

History Note: Authority G.S 131D-10.1; 131D-10.3; 131D- 

10.5; 143B-153; 


10A NCAC 70G .0501 PERSONNEL 

(a) The executive director is responsible for the general 

management and administration of the agency in accordance 

with licensing requirements and policies of the governing body. 

The executive director shall have a bachelor's degree from a 

college or university listed in the most current edition of the 

Higher Education Directory, which can be obtained by calling 

Higher Education Publications, Inc. at 1-888-349-7715. 

(b) The social work supervisor is responsible for supervising, 

evaluating, and monitoring the work and progress of the social 

work staff. The social work supervisor shall have a bachelor's 

degree from a college or university listed in the most current 

edition of the Higher Education Directory. Social work 

supervisors shall receive 24 hours of continuing education 

annually. 

(c) The social worker is responsible for intake services, 

providing casework or group work services for children and their 

families, conducting home-finding and assessment studies 

related to foster parents and planning and coordinating the 

services and resources affecting children and their families. The 

social worker shall have a bachelor's degree from a college or 

university listed in the most current edition of the Higher 

Education Directory. Social workers shall receive 24 hours of 

continuing education annually. 

(d) Social workers or case managers serving children in family 

foster homes shall serve no more than 15 children. Social 

workers or case managers serving children in therapeutic foster 

homes shall serve no more than 12 children. Social workers 

providing foster home licensing services (licensing workers) 

shall serve no more than 32 foster families. Agencies providing 

family foster care services may combine the duties of the social 

worker or case manager and licensing worker and serve no more 

than ten children and ten foster families. Agencies providing 

therapeutic foster care services may combine the duties of the 

social worker or case manager and licensing worker and serve 

no more than eight children and eight foster families. 

(e) Supervision of social workers or case managers shall be 

assigned as follows: 

Supervisors Social Workers or Case 

Required 

Managers 

0 0-4 

(executive director serves as 

social work supervisor) 

1 5 

2 6-11 

3 12-17 

There shall be one additional supervisor for every 

one to five additional social workers. 



10A NCAC 70G .0502 APPLICATION PROCEDURES 

AND PRACTICES 

(a) The policies for acceptance of an applicant for services shall 

be in writing and shall relate to the stated purpose of the agency. 

(b) Acceptance of an applicant for services shall be limited to 

those for whom the agency is qualified by staff, program and 

services to provide services. 

(c) There shall be an application for services to place a child 

signed by the parent, guardian, legal custodian, or authorized 

representative of the legal custodian. 

(d) The child shall be accepted for placement by a written 

placement agreement signed by the parent, guardian, legal 

custodian or authorized representative of the legal custodian. 

History Note: Authority G.S. 131D-10.5; 143B-153; 143B- 

154; 


802



10A NCAC 70G .0503 PLACEMENT SERVICES 

(a) The agency shall assist the parents or guardian to assume or 

resume their parental roles and responsibilities as specified in the 

out-of-home family services agreement or person-centered plan. 

(b) The agency shall assist the parents or guardian to gain 

access to the services necessary to accomplish the goals and 

objectives specified in the out-of-home family services 

agreement or person-centered plan. 

(c) The agency shall encourage contacts between parents or 

guardian and children after placement, in accordance with the 

visitation and contact plan. 

(d) The agency shall have a signed agreement with the parents, 

guardian or legal custodian of the child in care which includes 

the expectations and responsibilities of the agency and the 

parents, guardian or legal custodian for carrying out the steps to 

meet the out-of-home family services agreement or personcentered 

plan goals, the financial arrangements for the child in 

care, and visitation and contact plans. 

(e) The agency shall select the most appropriate form of care for 

the child consistent with the needs of the child, parents and 

guardian for family foster care or therapeutic foster care. The 

agency shall provide for any services the child may need and 

shall make every effort when placing the child to select the least 

restrictive and most appropriate setting closest to the child's 

home. 

(f) The agency shall document any need to place a child in a 

family foster home or therapeutic foster home that is beyond a 

radius of 150 miles from the child placing agency and the child's 

parents or guardian. 

(g) The agency, when selecting care, shall take into 

consideration a child's racial, cultural, ethnic, and religious 

heritage and preserve them to the extent possible without 

jeopardizing the child's right to care. 

(h) The agency shall involve the parents or guardian in the 

selection of the placement. 

(i) The family foster home or the therapeutic foster home shall 

be licensed by the Division of Social Services. 

(j) The agency social worker for the child shall become 

acquainted with the child and family prior to placement, except 

when a child is placed on an emergency basis or in the case of an 

infant; 

(k) The agency social worker shall help the child understand the 

reasons for placement and prepare him or her for the new 

environment. The social worker shall, except when placing 

under emergency conditions, arrange at least one preplacement 

visit for the child and shall be available to the child, the parents 

or guardian, and foster parents for supportive services. 

(l) No child shall be accepted into a foster home without having 

had a current medical examination by a licensed medical 

provider (physician, physician's assistant or nurse practitioner). 

Medical examinations completed by a licensed medical provider 

within 12 months prior to the admission of the child in foster 

care are considered current. If a child has not had a medical 

examination by a licensed medical provider within 12 months 

prior to admission, the agency shall arrange a medical 

examination for the child within two weeks after admission or 

sooner if indicated by the child's health condition. The medical 

examination report shall include a signed statement by a licensed 

medical provider specifying the child's medical condition and 

medications prescribed and indicating the presence of any 

communicable disease which may pose a risk of transmission in 

the foster home. If a child is in the custody of a county 

department of social services, is already scheduled to have and is 

having a medical examination completed annually, and is 

entering a foster home, the schedule of annual medical 

examinations do not have to be changed. A copy of the most 

recent medical examination report shall be obtained from the 

responsible county department of social services by the agency. 

(m) The agency shall obtain and record a developmental history 

for each child. 

(n) The agency shall supervise the care of the child and shall 

coordinate the planning and services for the child and family as 

stated in the out-of-home family services agreement or personcentered 

plan. 

(o) Children in family foster homes and therapeutic foster 

homes shall have a monthly face-to-face contact by the social 

worker or case manager or more if specified in the out-of-home 

family services agreement or person-centered plan. The parents 

or guardian of children in family foster care and therapeutic 

foster care shall have a monthly face-to-face contact by the 

social worker or case manager unless the out-of-home family 

services agreement or person-centered plan indicates a different 

schedule of face-to-face contacts. 

(p) The agency social worker or case manager shall meet with 

the children and the parents, guardian or legal custodian, either 

separately or together based on the out-of-home family services 

agreement or person-centered plan to assess and work on the 

following: 

(1) progress in resolving problems which 

precipitated placement; 

(2) parent and child relationship difficulties; 

(3) adjustment to separation; 

(4) adjustment to placement; and 

(5) achievement of out-of-home family services 

agreement goals or person-centered plan goals. 

(q) The agency shall refer the child's parents or guardian to 

other agencies in the community if they require services the 

agency does not provide and it is specified in the out-of-home 

family services agreement or person-centered plan. The agency 

shall receive reports from the agency providing services 

regarding the parents' or guardian's progress or lack of progress. 

(r) The agency shall make provisions for social work, mental 

health and health care services as stated in the out-of-home 

family services agreement or person-centered plan. 

(s) The agency shall give foster parents assistance, training, 

consultation, and emotional support in caring for children and in 

resolving problems related to their role as foster parents. Family 

foster care parents shall have one face-to-face contact per month 

by the social worker or case manager unless the out-of-home 

family services agreement indicates a different schedule of faceto-face 

contacts for each family foster care child placed in the 

home. Phone support and 24-hour on-call support shall be 

provided to family foster care parents and therapeutic foster care 

parents. The agency shall provide each foster parent with a 

Foster Parent Handbook that outlines agency procedures, 

requirements and expectations. 


803


History Note: Authority G.S. 131D-10.5; 


10A NCAC 70G .0504 OUT-OF-HOME FAMILY 

SERVICES AGREEMENT FOR CHILDREN RECEIVING 

FAMILY FOSTER CARE SERVICES 

(a) The agency shall develop a written out-of-home family 

services agreement within 30 days of admission of a child in a 

family foster home. The out-of-home family services agreement 

shall be developed in cooperation with the child, parents, 

guardian or legal custodian and foster parents when possible. 

The out-of-home family services agreement shall be based upon 

an assessment of the needs of the child, parents or guardian. The 

out-of-home family services agreement shall include goals stated 

in specific, realistic, and measurable terms and plans that are 

action oriented, including specific responsibilities of staff, 

parents or guardian, other family members, legal custodian, 

foster parents and the child. 

(b) The out-of-home family services agreement shall be 

reviewed by the agency within 60 days of placement, the second 

out-of-home family services agreement review shall occur 

within 90 days of the first review and subsequent reviews shall 

beheld every six months. Parents, guardian, legal custodian, 

foster parents, the child, as well as any individual or agency 

designated as providing services, shall participate in the reviews 

to determine the child's and parents' or guardian's progress or 

lack of progress towards meeting the goals and objectives, and to 

determine changes that need to be made in the out-of-home 

family services agreement. 

(c) If the legal custodian is a county department of social 

services, the child-placing agency, the department of social 

services, parents or guardian, foster parents, other service 

providers and child shall develop a single out-of-home family 

services agreement. The child-placing agency and foster parents 

shall attend court reviews, child and family team meetings, 

agency reviews and permanency planning action team meetings. 

The Out-of-Home Family Services Agreement (DSS-5240 or 

DSS-5241) and the Transitional Living Plan (CARS Plan 

Review) may serve as the out-of-home family services 

agreement for the child-placing agency if the documents reflect 

input and participation by the child-placing agency and foster 

parents. 



10A NCAC 70G .0505 PERSON-CENTERED PLAN FOR 

CHILDREN RECEIVING THERAPEUTIC FOSTER 

CARE SERVICES 

(a) When therapeutic foster care services are provided, the 

agency shall complete an assessment for each child prior to the 

delivery of services that shall include: 

(1) the child's presenting problem; 

(2) the child's needs and strengths; 

(3) the provisional or admitting diagnosis with an 

established diagnosis determined within 30 

days of placement, 

(4) a social, family and medical history; and 

(5) evaluations or assessments, such as 

psychiatric, psychological, substance abuse, 

medical, vocational and educational, as 

appropriate to the child's needs. 

(b) When services are provided prior to the establishment and 

implementation of the person-centered plan, strategies to address 

the child's presenting problem shall be documented. 

(c) The person-centered plan shall be developed based on the 

assessment, in partnership with the child, parents, guardian and 

the legal custodian if applicable. A preliminary person-centered 

plan shall be developed within 24 hours following placement. A 

person-centered plan shall be developed within 30 days of 

placement for children who are expected to receive services 

beyond 30 days of placement. 

(d) The person-centered plan for each therapeutic foster child 


(1) outcomes that are anticipated to be achieved 

by the provision of the service and a projected 

date of achievement; 

(2) strategies for achieving the outcomes; 

(3) staff responsibilities; 

(4) responsibilities of the child, parents, guardian 

or legal custodian and the responsibilities of 

the foster parents; 

(5) a schedule for review of the person-centered 

plan at least annually in consultation with the 

child, parents, guardian or legal custodian; 

(6) basis for an evaluation or assessment of 

outcome achievement; and 

(7) written consent or agreement by the child, 

parents, guardian and legal custodian if 

applicable or a written statement by the agency 

stating the reason such consent could not be 

obtained. 

(e) If a child is in the custody of a county department of social 

services and is placed in a therapeutic foster home, an out-ofhome 

family services agreement shall also be completed. The 

outcomes, objectives and strategies of the person-centered plan 

and the out-of-home family services agreement shall be 

consistent and compatible. 



10A NCAC 70G .0506 CLIENT RECORDS 

(a) The agency shall maintain an individual record for each 

child receiving foster care services which contains: 

(1) an application for services that includes: 

(A) demographic information about the 

child, including name, address, sex, 

race, birth date, birth place, 

educational information, medical 

information and client record number; 

(B) demographic information about the 

parents or guardian of the child, 

including names, addresses, 

telephone numbers, birth dates, races, 

religion and marital status; 


804


(C) 

(D) 

demographic information about the 

siblings and other relatives of the 

child, including names, addresses, 

and telephone numbers; 

the reasons the child was removed 

from the home of his or her parents; 

(E) a record of the child's prior 

placements with names and addresses 

of foster parents and other caregivers 

and dates of care provided by each 

foster parent or caregiver, and 

(F) 

the services the agency shall provide 

the child and his or her parents or 

guardian. 

(2) legal documents of importance to the child 

including a birth certificate and any court 

dispositions; 

(3) pre-admission medical examination report or a 

medical examination report completed within 

two weeks of admission (unless the child's 

health status indicates the completion of a 

medical examination report sooner) and copies 

of subsequent medical examination reports; 

(4) medical reports including medical history, 

cumulative health history, immunization 

records, and available psychological and 

psychiatric reports; and if applicable: 

(A) documentation of mental illness, 

developmental disabilities or 

substance abuse diagnosis coded 

according to the Diagnostic and 

Statistical Manual of Mental 

Disorders-Fourth Edition-Revised 

DSM IV; 

(B) documentation of screening and 

assessment; 

(C) 

medication orders and Medication 

Administration Record (MAR); 

(D) documentation of medication 

administration errors; 

(E) documentation of adverse drug 

reactions; and 

(F) orders and copies of lab tests; 

(5) educational assessments, records and reports 

of school-age children; 

(6) intake study which includes initial social 

assessment and background of parents or 

guardian and the circumstances leading to the 

decision to place the child; 

(7) signed out-of-home family services agreement 

or person-centered plan along with out-ofhome 

family services agreement or personcentered 

plan reviews which reflect the status 

of the child, parents or guardian in relation to 

the out-of-home family services agreement or 

person-centered plan and any progress or lack 

of progress in the goals of the out-of-home 

family services agreement or person-centered 

plan; 

(8) documentation of services provided; 

(9) documentation which reflects the dates and 

content of social worker's or case manager's 

visits with the child; 

(10) documentation of the agency's involvement 

with the parents, guardian or legal custodian, 

including services offered, delivered, or 

rejected; 

(11) documentation which includes the content of 

any administrative or service reviews; 

(12) a visitation and contact plan that specifies the 

child's contacts with parents, guardian, siblings 

and other family members and individuals who 

may have contact with the child; 

(13) consents for release of information; 

(14) a signed statement from the parents, guardian 

or legal custodian, granting permission to seek 

emergency care from a hospital or licensed 

medical provider; 

(15) emergency information for each child that 

shall include the name, address and telephone 

number of the person to be contacted in case 

of sudden illness or accident and the name, 

address and telephone number of the child's 

preferred licensed medical provider; 

(16) authorization from the parents, guardian, legal 

custodian or licensed medical provider to 

administer non-prescription medications; 

(17) consents for overnight travel and other travel 

consents based on the requirements of the 

parents, guardian or legal custodian; 

(18) consents for time-limited audio-visual 

recordings signed by the parents, guardian or 

legal custodian, and child, if 12 years of age or 

older; 

(19) documentation of searches for drugs, weapons, 

contraband or stolen property, including date 

and time of the search, action taken by foster 

parents and the agency, name of foster parent 

informing the agency, the date and time the 

agency is informed of the search, the date and 

time of the notification to the child's parents, 

guardian or legal custodian; and 

(20) discharge summary including date and time of 

discharge, the name, address, telephone 

number, and relationship of the person or 

agency to whom the child was discharged, a 

summary of services provided during care, 

needs which remain to be met, and plans for 

the services needed to meet these goals. 

(b) If the agency maintains a separate record on the parents and 

guardians of children whom they place into care, the parents' or 

guardians' record shall contain: 

(1) demographic information including names, 

addresses, birth dates, races, religion, family 

composition; 

(2) social histories, including any psychological or 

psychiatric reports and medical histories; 


805


(3) strengths and needs of the parents or guardian 

and the services required; 

(4) signed agreements between the agency and 

parents or guardian; 

(5) summary of dates of contacts and progress 

toward goals; 

(6) case review reports; and 

(7) discharge summary. 

(c) Documentation shall be entered into the child's, parents' or 

guardian's records within five days of occurrence. 

(d) The agency shall keep separate records for each family 

foster home which contains: 

(1) application; 

(2) mutual home assessment; 

(3) medical examination reports; 

(4) fire inspection safety report; 

(5) environmental conditions checklist; 

(6) proof of high school diploma or GED; 

(7) dates and content of worker's contacts with the 

foster family; 

(8) training record that includes all required and 

ongoing training; 

(9) foster parent agreement signed by foster 

parents and agency representative; 

(10) discipline agreement signed by foster parents 

and agency representative; 

(11) three references relevant to the role and 

responsibilities of a foster parent; 

(12) annual assessment of strengths and needs of 

the foster family in providing foster care to 

children; 

(13) chronological record of all placements of 

children receiving care in the home, including 

the dates of their care and an assessment of the 

care; 

(14) written approval letter from executive director 

or his or her designee authorizing foster 

parents to administer physical restraint holds, 

if applicable; 

(15) signed statement by the foster parents and 

adult members of the household that they have 

not been found to have abused or neglected a 

child or have not been a respondent in a 


removal of a child or has had child protective 


removal of a child. 



not been confirmed or substantiated for 

abusing, neglecting or exploiting a disabled 

adult; 

(17) documentation of the results of the search of 

the Responsible Individual's List as defined in 

10A NCAC 70A .0102 for all adult members 

of the household that indicate they have not 

had child protective services involvement 

resulting in a substantiation of child abuse or 

serious neglect; 



not been a domestic violence perpetrator; 


the North Carolina Sex Offender and Public 

Protection Registry of all adult members of the 

household; 


the North Carolina Nurse Aide Registry 

pursuant to G. S. 131E-255 of all adult 

members of the household; 


the North Carolina Health Care Personnel 

Registry pursuant to G.S. 131E-256 of all 

adult members of the household; 

(22) copies of waivers, as specified in 10A NCAC 

70L .0102; and 

(23) when closed, a summary containing reasons 

for the closing of the home and an assessment 

of the strengths and needs of the foster family 

in providing foster care to children. 



10A NCAC 70G .0507 CLIENT RIGHTS 

(a) The agency shall develop and implement policies and 

procedures to protect the individual rights and dignity of 

children and families who are provided services by the agency. 

(b) The agency shall have a client's and family's rights policy 

that complies with 10A NCAC 70E .1101(a). 

(c) The agency shall have a policy that prohibits direct 

involvement by a child in funds solicitation for the agency. 

(d) The agency shall have a policy, which prohibits the child's 

participation in any activities involving audio or visual recording 

and research without the voluntary signed, time-limited consent 

of the parents, guardian or legal custodian and child, if 12 years 

of age or older. 

(e) Each agency shall ensure that information relative to AIDS 

or related conditions is disclosed only in accordance with the 

communicable disease laws as specified in G.S. 130A-143. 



10A NCAC 70G .0508 GRIEVANCE PROCEDURES 

(a) The agency shall provide to each child and parents, guardian 

or legal custodian, upon placement: 

(1) a written description of policies and 

procedures that the child and parents, guardian 

or legal custodian follow to register 

complaints; 

(2) information about client's and parents', 

guardian's or legal custodian's rights; 

(3) the process for appealing a decision or action 

of the agency; and 

(4) the process of resolution of a complaint. 

(b) Upon resolution of a grievance, the agency shall maintain a 

copy of the complaint and the resolution in the child's record. 


806




10A NCAC 70G .0509 SEARCHES 

(a) The agency shall have written policies and procedures 

regarding foster parents conducting searches of children's rooms 

and possessions that shall be discussed with the parents, 

guardian or legal custodian, and child prior to or upon 

placement. 

(b) The search policies and procedures shall include: 

(1) circumstances under which searches are 

conducted; 

(2) persons who are allowed to conduct searches; 

(3) provision for documenting searches and 

informing the agency, parents, guardian and 

legal custodian of searches; and 

(4) provision for removing and disposing of items 

seized as a result of searches. 



10A NCAC 70G .0510 MEDICATION 

ADMINISTRATION REQUIREMENTS 


regarding foster parents administering medications to children 

placed in their home that shall be discussed with each child and 

the child's parents, guardian or legal custodian, prior to or upon 

placement. 

(b) These policies and procedures shall address medication: 

(1) administration; 

(2) dispensing, packaging, labeling, storage and 

disposal; 

(3) review; 

(4) education and training; and 

(5) documentation, including medication orders, 

Medication Administration Record (MAR), 

orders and copies of lab tests, and medication 

administration errors and adverse drug 

reactions. 

(c) Upon discharge of a child from foster care, the foster parents 

or the agency shall return prescription medication to the person 

or agency legally authorized to remove the child from foster 

care. Unwanted, out-dated, improperly labeled, damaged, 

adulterated or discontinued prescription medications shall be 

returned to a pharmacy for disposal. 

(d) The agency shall ensure that each child started or maintained 

on a medication by a licensed medical provider receives either 

oral or written education regarding the prescribed medication by 

the licensed medical provider or his or her designee. In instances 

where the ability of the child to understand the education is 

questionable, the agency shall ensure that a responsible person 

receives either oral or written education regarding the prescribed 

medication by the licensed medical provider or his or her 

designee and provides either oral or written instructions to the 

child. The agency shall ensure that the medication education 

provided is sufficient to enable the child or other responsible 

person to make an informed consent, to safely administer the 

medication and to encourage compliance with the prescribed 

regimen. 



10A NCAC 70G .0511 HOME-SCHOOLING 


regarding foster parents providing home-schooling to children 

placed in their home that shall be discussed with the child and 

the child's parents, guardian or legal custodian prior to or upon 

placement. 

(b) The home-schooling policies and procedures shall include: 

(1) a requirement for the foster parents to meet the 

provisions of Part 3 of Article 39 of Chapter 

115C of the General Statutes; 

(2) an educational assessment of the child that 

establishes the need for home-schooling; 

(3) expectation of the child's placement to remain 

stable for the time period of home–schooling; 

and 

(4) parental or guardian consent, if the parents' or 

guardian's consent can be obtained and consent 

of the legal custodian. 



10A NCAC 70G .0512 PHYSICAL RESTRAINT HOLDS, 

BEHAVIOR MANAGEMENT AND DISCIPLINE 

(a) Agencies using physical restraint holds shall, within 72 

hours of an incident involving a physical restraint, review the 

incident report to ensure that correct steps were followed and 

forward the report to the parents, guardian or legal custodian and 

the licensing authority on a report form developed by the 

licensing authority. 

(b) Agencies shall submit a report to the licensing authority by 

the 10 th day of each month indicating the number of physical 

restraint holds used during the previous month on each child and 

any injuries that resulted. 

(c) Agencies shall maintain reports of physical restraint holds in 

a manner consistent with the agency's risk. management policies 

(clinical decisions and activities undertaken to identify, evaluate 

and reduce the risk of injury to clients, staff and visitors and 

reduce the risk of loss to the agency) and make them available to 

the licensing authority upon request. 

(d) Foster parents who utilize physical restraint holds shall 

receive at least 16 hours of training in behavior management, 

including techniques for de-escalating problem behavior, the 

appropriate use of physical restraint holds, monitoring of vital 

indicators, and debriefing children and foster parents involved in 

physical restraint holds. Foster parents authorized to use 

physical restraint holds shall annually complete at least eight 

hours of behavior management training, including techniques for 

de-escalating problem behavior. Foster parents shall be trained 

by instructors who have met the following qualifications and 

training requirements: 

(1) trainers shall demonstrate competence by 

scoring 100% on testing in a training program 


807


aimed at preventing, reducing and eliminating 

the need for restrictive interventions; 

(2) trainers shall demonstrate competence by 

scoring 100% on testing in a training program 

teaching the use of physical restraint; trainers 

shall demonstrate competence by scoring a 

passing grade on testing in an instructor 

training program; 

(3) the training shall be competency-based, and 

shall include measurable learning objectives , 

measurable testing (written and by observation 

of behavior) on those objectives and 

measurable methods to determine passing or 

failing the course; 

(4) the content of the instructor training shall be 

approved by the Division of Mental Health, 

Developmental Disabilities and Substance 

Abuse Services and shall include, but not be 

limited to, presentation of understanding the 

adult learner, methods of teaching content of 

the course, evaluation of trainee performance 

and documentation procedures; 

(5) trainers shall be retrained at least annually and 

demonstrate competence in the use of physical 

restraint; 

(6) trainers shall be currently trained in CPR; 

(7) trainers shall have coached experience in 

teaching the use of restrictive interventions at 

least two times with a positive review by the 

coach, 

(8) trainers shall teach a program on the use of 

physical restraints at least once annually; and 

(9) trainers shall complete a refresher instructor 

training at least every two years. 

(e) Foster parents shall receive written approval from the 

executive director or his or her designee of the supervising 

agency to administer physical restraint holds. A copy of this 

letter shall be placed in the foster home record. 

(f) Agencies shall complete an annual review of the discipline 

and behavior management policies and techniques to verify that 

the physical restraint holds being utilized are being applied 

properly and safely. The review of the policies and techniques 

shall be documented and submitted to the licensing authority at 

the time of relicensure as part of the reapplication process. 

History Note: Authority G.S. 131D-10.5; 143B-153 


10A NCAC 70G .0513 CRITICAL INCIDENTS 

(a) The agency shall have written policies and procedures for 

reporting critical incidents. 

(b) The agency shall follow policies and procedures for 

handling any suspected incidents of abuse or neglect of a child 

involving staff, subcontractors, volunteers, interns or foster 

parents in a foster home supervised by the agency. The policies 

and procedures shall include: 

(1) a provision for reporting any suspicion of 

abuse or neglect to the appropriate county 

department of social services for investigation; 

(2) a provision for recording any suspected 

incident of abuse or neglect and for reporting it 

to the executive director or to the governing 

body; 

(3) a provision for notifying parents, guardian or 

legal custodian; 

(4) a provision for preventing a recurrence of the 

alleged incident pending the investigative 

assessment; 

(5) a policy concerning personnel action to be 

taken when the incident involves a staff 

member, subcontractor, volunteer or intern; 

(6) a policy concerning the action to be taken 

when the incident involves a foster parent; 

(7) a provision for submitting a critical incident 

report to the licensing authority within 72 

hours of the incident being accepted for an 

investigative assessment by a county 

department of social services; and 

(8) a provision for submitting written notification 

to the licensing authority within 72 hours of 

the case decision by the county department of 

social services conducting the investigative 

assessment. 

(c) Critical incident reports shall be submitted to the licensing 

authority by the executive director or his or her designee on a 

form provided by the licensing authority within 72 hours of the 

critical incident. Critical incidents involving a child in 

placement in a foster home supervised by the agency include the 

following: 

(1) a death of a child; 

(2) reports of abuse and neglect; 

(3) admission to a hospital; 

(4) suicide attempt; 

(5) runaway lasting more than 24 hours; 

(6) arrest for violations of state, municipal, county 

or federal laws; and 

(7) reports of physical restraint holds. 

(d) Documentation of critical incidents shall include: 

(1) name of child or children involved; 

(2) date and time of incident; 

(3) brief description of incident; 

(4) action taken by staff; 

(5) need for medical attention; 

(6) name of staff involved and person completing 

the report; 

(7) name of child's parent, guardian or legal 

custodian notified and the date and time of 

notification; and 

(8) approval of supervisory or administrative staff 

reviewing the report. 

(e) When there is a death of a child in placement in a foster 

home supervised by the agency, the executive director or his or 

her designee shall notify the parent, guardian or legal custodian 

and the licensing authority within 72 hours of the death of the 

child. 

(f) Critical incident reports shall be maintained in manner 

consistent with the agency's risk management policies that 

include clinical decisions and activities undertaken to identify, 


808


evaluate and reduce the risk of injury to clients, staff and visitors 

and reduce the risk of loss to the agency and shall be made 

available to the licensing authority upon request. 



10A NCAC 70H .0101 APPLICABILITY 

10A NCAC 70H .0102 ORGANIZATION AND 


10A NCAC 70H .0103 INTAKE PROCEDURES AND 

PRACTICES 

10A NCAC 70H .0104 CASE PLAN 

10A NCAC 70H .0105 PLACEMENT SERVICES TO 

FAMILIES AND CHILDREN 

10A NCAC 70H .0106 ADOPTIVE HOME 

RECRUITMENT 


APPLICATION 

10A NCAC 70H .0108 PREPLACEMENT ASSESSMENT 

10A NCAC 70H .0109 NOTIFICATION REGARDING 

PREPLACEMENT ASSESSMENT 

10A NCAC 70H .0110 SERVICES TO ADOPTIVE 

APPLICANTS AND FAMILIES 

10A NCAC 70H .0111 LEGAL PROCESS 

10A NCAC 70H .0112 RECORDS 

History Note: Authority G.S. 48-2-502; 48-3-204; 48-3-303; 

110-57.1; 131D-10.3; 131D-10.5; 143B-153; 


Amended Eff. June 1, 1990; 

Temporary Amendment Eff. Amended Eff. April 1, 1997; 

January 1, 1997; July 1, 1996; Eff. December 6, 1996; 

Amended Eff. March 1, 1992; November 1, 1996; 

Recodified from 10 NCAC 41P .0001 Eff. December 6, 1996 

(70H .0101); 


(70H .0102); 


(70H .0103); 


(70H .0104); 


(70H .0105); 


(70H .0106); 


(70H .0107); 


(70H .0108); 

Recodified from 10 NCAC 41P .0009 Eff. December 6, 1996 

(70H .0109); 


(70H .0110); 


(70H .0111); 


(70H .0112); 


10A NCAC 70H .0201 SCOPE 

(a) Rules in 10A NCAC 70H shall apply to all persons 

intending to provide adoption services which includes: 

(1) the provision of casework and other supportive 

services to biological parents considering 

adoption; 

(2) provision of casework and other supportive 

services to the child considered for adoption; 

(3) provision of casework and other supportive 

services to adoptive applicants through 

pre-placement studies; 

(4) selection of home and placement process; 

(5) supervision after placement; 

(6) fulfillment of social and legal responsibilities; 

(7) compilation and preservation of complete case 

records; and 

(8) provision of post-adoption consultation 

services. 

(b) County departments of social services shall comply with 

requirements of 10A NCAC 70M. 

(c) The North Carolina Department of Health and Human 

Services, Division of Social Services, is the licensing authority 

for adoption child-placing agencies. 

History Note: Authority G.S. 131D-10.3; 131D-10.5; 

143B-153; 


10A NCAC 70H .0301 ORGANIZATION AND 


Persons licensed or seeking license to provide adoption services 

shall comply with requirements of 10A NCAC 70F, Chapter 48 

of the General Statutes of North Carolina, and G.S. 7B-3800, the 

Interstate Compact on Placement of Children. 

History Note: Authority G.S. 48-3-204; 131D-10.3; 

131D-10.5; 143B-153; 


10A NCAC 70H .0302 CONFLICT OF INTEREST 

(a) County departments of social services and private childplacing 

agencies shall not supervise adoptive placements of 

members of their board of directors, governance structure, social 

services board, and county commission. 

(b) County departments of social services and private childplacing 

agencies shall not supervise adoptive placements of 

agency employees and relatives of agency employees. Relatives 

include birth and adoptive parents, blood and half blood relative 

and adoptive relative including brother, sister grandparent, greatgrandparent, 

great-great grandparent, uncle, aunt, great-uncle, 

great-aunt, great-great uncle, great-great aunt, nephew, niece, 

first cousin, stepparent, stepbrother, stepsister and the spouse of 

each of these relatives. 

(c) Private child-placing agencies shall not supervise adoptive 

placements of agency owners. 


809


History Note: Authority G.S. 48-3-204; 131D-10.3; 

131D-10.5; 143B-153; 


10A NCAC 70H .0401 PERSONNEL 

(a) The executive director is responsible for the general 

management and administration of the agency in accordance 

with licensing requirements and policies of the governing body. 

The executive director shall have a bachelor's degree from a 

college or university listed in the most current edition of the 

Higher Education Directory, which can be obtained by calling 

Higher Education Publications, Inc. at 1-888-349-7715. 

(b) The social work supervisor is responsible for supervising, 

evaluating, and monitoring the work and progress of the social 

work staff. The social work supervisor shall have a bachelor's 

degree from a college or university listed in the most current 

edition of the Higher Education Directory. Social work 

supervisors shall receive 24 hours of continuing education 

annually. 

(c) The social worker is responsible for intake services, 

providing casework or group work services for children and their 

families, conducting home-finding and assessment studies 

related to foster parents and planning and coordinating the 

services and resources affecting children and their families. The 

social worker shall have a bachelor's degree from a college or 


Education Directory. Social workers shall receive 24 hours of 


(d) Social workers counseling birth families, preparing and 

assessing adoptive applicants for infant placements and 

supporting these families shall serve no more than 50 families. 

(e) Social workers preparing children ages six and above or 

children having special needs shall serve no more than 15 

children. 

(f) Social workers preparing and assessing adoptive applicants 

for the placement of children ages six and above or children who 

have special needs shall serve no more than 20 families. 

(g) Social workers preparing and assessing families for 

international adoptions shall serve no more than 35 families. 

(h) Supervision of adoption social workers shall be assigned as 

follows: 

Supervisors Required 

Social Workers 

0 0-4 



1 5 

2 6-11 

3 12-17 

There shall be one additional supervisor for every one to five 

additional social workers. 

(i) Staff members of the adoption agency may maintain dual 

employment or serve as volunteers with maternity homes or 

crisis pregnancy centers as long as the adoption agency does not 

provide services to the clients of the maternity home or crisis 

pregnancy center or accept or arrange releases for adoption for 

the children of the clients of the maternity home or crisis 

pregnancy center. Staff members, owners, officers directors of 

the adoption agency may serve on the board of directors of 

maternity homes or crisis pregnancy centers as long as the 

adoption agency does not provide services to the clients of the 

maternity home or crisis pregnancy center or accept or arrange 

releases for adoption for the children of the clients of the 

maternity home or crisis pregnancy center. 



10A NCAC 70H .0402 INTAKE PROCEDURES AND 

OUT-OF-HOME FAMILY SERVICES AGREEMENT 

(a) The policies for acceptance of an applicant for adoption 

services shall be defined in writing and shall relate to the stated 

purpose of the agency. Acceptance of an applicant for services 

shall be limited to those for whom the agency is qualified by 

staff, program and services to give appropriate services. 

(b) Applicants for international adoptions shall receive 

information that includes the following topics: 

(1) the characteristics of children who need 

adoptive families; 

(2) the criteria by which the adoption agency and 

sending countries determine eligibility for 

adoptive parents; 

(3) the adoption services that will be available, 

when they will be available and how long they 

will be available; 

(4) steps in the adoption process; 

(5) immigration and obtaining citizenship; 

(6) average waiting time; 

(7) risks associated with international adoptions; 

(8) adoption requirements of the sending county; 

and 

(9) the use of other organizations or individuals to 

provide services. 

(c) The agency shall develop a written out-of-home family 

services agreement for children within 30 days of acceptance as 

a client if the child is placed in foster care and a permanent 

placement has not been achieved. The out-of-home family 

services agreement shall be developed in cooperation with the 

child and the child's parents, guardian or legal custodian when 

possible. 

(d) The out-of-home family services agreement shall include 

goals stated in specific, realistic and measurable terms and plans 

that are action oriented, including specific responsibilities of 

staff, family members and the child. 

(e) The out-of-home family services agreement shall be based 

upon an assessment of the needs of the child and the child's 

parents. 

(f) The out-of-home family services agreement shall be 

reviewed within 60 days of placement, the second out-of-home 

family services agreement review shall occur within 90 days of 

the first review and subsequent reviews shall be held every six 

months to determine the child's and family's progress or lack of 

progress towards meeting the goals, and to determine changes 

that need to be made in the out-of-home family services 

agreement. 


810




10A NCAC 70H .0403 PLACEMENT SERVICES TO 

FAMILIES AND CHILDREN 

(a) Those persons providing as part of their adoption services 

program unplanned pregnancy services shall: 

(1) respect the client's choice of alternatives to the 

unplanned pregnancy; 

(2) assure the clients of confidential handling of 

and restricted access to the case record; 

(3) offer alternate plans of care for the child and 

give supportive services or make appropriate 

referrals to other resources for clients who do 

not release the child for adoption; and 

(4) assist the client in obtaining maternity home 

care during her pregnancy. 

(b) The agency shall help those parents reaching the decision to 

relinquish their children to the agency for adoptive placement to 

have an understanding of the meaning of adoption and its 

potential impact on the child's and their lives. The agency may 

notify the birth parents when a placement has occurred and when 

an adoption decree is issued if the birth parents and adoptive 

parents are in agreement about this notification. 

(c) At the point a parent executes the document for 

relinquishment of a child for adoption, the agency shall ascertain 

that the parent has an understanding of the effects of this action 

and of the time period allowed for revocation of the 

relinquishment document. When the agency has received the 

parent's relinquishment document, the executive director shall 

indicate acceptance of the relinquishment document by signing 

the appropriate form for this purpose. A copy of the 

relinquishment document for adoption and of the agency's 

acceptance document shall be given to the parent. The executive 

director shall designate the agency's supervisor of adoptions or 

the adoptions social worker handling the case to accept the 

document for relinquishment of a child for adoption in the event 

the executive director is not available to accept the 

relinquishment document. An agency shall acquire legal and 

physical custody of a minor for purposes of adoptive placement 

only by means of a relinquishment pursuant to Chapter 48 of the 

General Statutes or by terminating the rights and duties of a 

parent or guardian of the minor. 

(d) In addition to providing services to the child, agencies 

providing adoption services shall include a child in the selection 

of an adoptive home and in preparation for adoptive placement. 

History Note: Authority G.S. 48-3-204; 131D-10.5; 143B- 

153; 



APPLICATION 

The agency shall provide an application form for prospective 

adoptive parents and shall determine in response to the 

completed application whether, within the scope of the agency's 

program, it is appropriate to conduct a preplacement assessment 

with the applicants. While the age of applicants is among the 

factors that may be considered in determining whether the 

agency conducts a preplacement assessment with the applicants, 

there shall be no fixed chronological age at which applicants are 

automatically rejected for study. 



10A NCAC 70H .0405 PREPLACEMENT ASSESSMENT 

(a) The agency shall complete a preplacement assessment 

within 90 days after the application for adoption has been 

approved and the request for the assessment has been received. 

In a case involving a single adoptive applicant, there shall be 

two separate face-to-face interviews occurring on two different 

dates. In a case involving joint applicants, there shall be a 

separate face-to-face interview with each applicant and an 

additional two face-to-face interviews with both applicants. At 

least one interview shall be conducted in the applicants' home. 

There shall be separate face-to-face interviews with each 

member of the household ten years of age or older. The 

assessment process shall be a joint effort of the adoption agency 

and the applicants to determine the kind of child the applicants 

can best parent. Any assessment that was completed 18 months 

or more before placement of a child occurs shall be updated to 

include current information about the family. Any agency 

updating a preplacement assessment not originally completed by 

that agency assumes responsibility for the entire assessment, and 

the new assessment shall reflect that it is the responsibility of the 

agency conducting the update. Physical examinations of family 

members shall be current to within 18 months of the assessment. 

(b) The agency shall assess the following areas and shall record 

the information in the adoptive applicants' record: 

(1) the applicants' reasons for wanting to adopt; 

(2) the strengths and needs of each member of the 

household; 

(3) the attitudes and feelings of the family, 

extended family, and other individuals 

involved with the family toward accepting 

adoptive children, and parenting children not 

born to them; 

(4) the attitudes of the applicants toward the birth 

parents and in regard to the reasons the child is 

in need of adoption; 

(5) the applicants' attitudes toward child behavior 

and discipline; 

(6) the applicants' plan for discussing adoption 

with the child; 

(7) the emotional stability and maturity of 

applicants; 

(8) the applicants' ability to cope with problems, 

stress, frustrations, crises, and loss; 

(9) the applicants' ability to give and receive 

affection; 

(10) the applicants' child-caring skills and 

willingness to acquire additional skills needed 

for the child's development; 

(11) the applicants' ability to provide for the child's 

physical and emotional needs; 

(12) whether the applicant has ever been convicted 

of a crime other than a minor traffic violation; 


811


(13) the strengths and needs of birth children or 

previously adopted children, 

(14) the applicant's physical and mental health, 

including any addiction to alcohol or drugs; 

(15) current financial information provided by the 

applicant, including property and income; 

(16) the applicants' personal character references; 

(17) the applicant's religious orientation, if any; 

(18) the location and physical environment of the 

home; 

(19) the plan for child care if parents work; 

(20) recommendations for adoption in regard to the 

number, age, sex, characteristics, and special 

needs of children who could be best served by 

the family; 

(21) any previous request for an assessment or 

involvement in an adoptive placement and the 

outcome of the assessment or placement; 

(22) whether the individual has ever been a 

respondent in a domestic violence proceeding 

or a proceeding concerning a minor who was 

allegedly abused, neglected, dependent, 

undisciplined or delinquent, and the outcome 

of the proceeding or whether the individual 

has been found to have abused or neglected a 

child or has been a respondent in a juvenile 

court proceeding that resulted in the removal 

of a child or has had child protective services 

involvement that resulted in the removal of a 

child; 

(23) whether the applicant has located a parent 

interested in placing a child for adoption with 

the applicant, and a brief, non identifying 

description of the parent and the child; 

(24) the applicants' age, date of birth, nationality, 

race or ethnicity; 

(25) the applicant's marital and family status and 

history, including the presence of any children 

born to or adopted by the applicant, and any 

other children in the household; 

(26) the applicant's educational and employment 

history and any special skills; and 

(27) any additional fact or circumstance that may 

be relevant to a determination of the 

applicant's suitability to be an adoptive parent, 

including the quality of the home environment 

and the level of functioning of any children in 

the household. 

When any of the information listed in this Paragraph is not 

reasonably available, the preplacement assessment shall state 

why the information is unavailable. 

(c) The assessment is prepared and typed by the agency and 

shall be reviewed by the agency's adoption review committee, 

signed and dated by an authorized agency representative when 

complete and final, and it shall become part of the applicants' 

permanent record. 

(d) Once the agency has made a decision regarding the 

suitability of the applicant as an adoptive placement, the 

preplacement assessment shall include specific documentation of 

the factors which support that determination. If the agency 

determines that the applicant is not suitable to be an adoptive 

parent, the assessment shall state the specific facts that support 

the determination. A specific concern is one that reasonably 

indicates the placement of any minor, or a particular minor, in 

the home of the applicant would pose a significant risk of harm 

to the well-being of the minor. 

(e) The agency preparing the preplacement assessment may 

redact from the assessment provided to the placing parent or 

guardian information reflecting the prospective adoptive parent's 

financial account balances and information about the prospective 

adoptive parent's extended family members, including surnames, 

names of employers, names of schools attended, social security 

numbers, telephone numbers and addresses. 

History Note: Authority G.S. 48-2-502; 48-3-303; 131D- 

10.5; 143B-153; 


10A NCAC 70H .0406 NOTIFICATION REGARDING 

PREPLACEMENT ASSESSMENT 

(a) The agency shall notify the client who was the subject of a 

preplacement assessment whether the assessment was favorable 

or unfavorable within 30 days after the agency completes the 

assessment. 

(b) The agency shall share with the client the specific reasons a 

child cannot be placed in their home if the preplacement 

assessment is unfavorable. 

(c) The client may request an internal review by the executive 

director of the adoption agency if the client disagrees with the 

unfavorable preplacement assessment. 

(d) The client may file a response with the Division of Social 

Services, Adoption Unit, and the adoption agency after 

exhausting the agency's procedures for internal review. The 

Division of Social Services, Adoption Unit, shall acknowledge 

receipt of the response within 30 days, but has no authority to 

take any action with respect to the response. A copy of the 

response shall be attached to the unfavorable preplacement 

assessment. 

(e) The Division of Social Services, Adoption Unit shall notify 

the county department of social services of an unfavorable 

preplacement assessment and the county department of social 

services shall take appropriate action regarding any child placed 

in the home of the prospective adoptive parent who is the subject 

of an unfavorable assessment. 


153; 


10A NCAC 70H .0407 SERVICES TO ADOPTIVE 

APPLICANTS AND FAMILIES 

(a) The agency shall provide to adopted applicants a written 

statement of the adoption services it provides and of its 

procedure for selecting a prospective adoptive parent for a child, 

including the role of the child's parent or guardian and any 

criteria requested by the child's parent or guardian in the 

selection process. This statement shall include a schedule of any 

fees or expenses charged by the agency and a summary of the 


812


provisions of Chapter 48 of the General Statutes that pertain to 

the requirements and consequences of a relinquishment and to 

the selection of a prospective adoptive parent. An agency which 

prepares preplacement assessments shall state whether it is 

available to provide post-placement services, including the 

report to the court pursuant to G.S. 48-2-501, and whether it can 

provide adoption services to the adoptee and adoptive parents 

after the decree of adoption has been entered. 

(b) The agency shall discuss the children available for adoption 

with the adoptive applicants. The selection of a prospective 

adoptive parent for a minor shall be made by the agency. 

(c) Following completion of a preplacement assessment, the 

agency shall prepare the adoptive applicants for the placement of 

a particular child. Preparation shall include: 

(1) information about the needs and expectations 

of the child and of the adoptive family; 

(2) information to the extent allowed by law as 

specified in G.S. 48-3-205 about the child's 

background and the health history of the 

child's birth parents and other relatives; and 

(3) visits with the child prior to placement. 

(d) An agency social worker shall visit in the home of the 

adoptive family after the placement of a child and prior to the 

decree of adoption. The first visit shall occur within two weeks 

after placement. Frequency of visits thereafter shall be 

determined by the child's and family's needs. Observations 

made during the visits shall be used in making recommendations 

to the court in regard to the decree of adoption. 

(e) When applicable, the agency shall take steps necessary to 

assure that the adoptive placement is in compliance with the 

Interstate Compact on the Placement of Children, G.S. 7B-3800. 


48-3-205; 131D-10.5; 143B-153; 


10A NCAC 70H .0408 LEGAL PROCESS 

(a) The agency shall instruct the adoptive parents in procedures 

regarding the legal process for adoption and shall instruct them 

to file their adoption petition pursuant to G.S. 48-2-302(a) within 

30 days of placement of the child for adoption unless that time is 

extended by the clerk. 

(b) The agency shall prepare and file the required consents and 

other documents and reports with the court at the appropriate 

times once the adoption petition has been filed. 

(c) During the process of preparing court reports, the petitioner, 

and each member of the petitioner's home shall be interviewed 

by the agency social worker in the petitioner's home. An 

additional interview shall be conducted in the presence of the 

petitioner and the adoptee to observe interactions between them. 

The report to the court shall be in writing and contain the 

information required by G.S. 48-2-502(b). 

(d) The agency shall give the petitioner a copy of each report 

filed with the court and retain a copy. In an agency adoption, 

pursuant to G.S. 48-2-502(b), the agency shall not release to the 

petitioner a copy of any court order, judgment, decree, or 

pending legal proceeding containing identifying information that 

could reasonably be expected to lead directly to the identify of 

the adoptee at birth or any former parent or family member of 

the adoptee. 

History Note: Authority G.S. 48-2-302; 48-2-502; 48-10- 

105; 131D-10.5; 143B-153; 


10A NCAC 70H .0409 RECORDS 

(a) The agency shall keep separate records for each adoptive 

applicant and family that contain the following: 

(1) application form; 

(2) certified copies of marriage certificates, if 

applicable; 

(3) certified documentation of marriage 

termination, if applicable; 

(4) current medical records on all family members 

and psychological or psychiatric reports, if 

applicable; 

(5) references from at least three sources; 

(6) preplacement assessment conducted by the 

agency; 

(7) copies of correspondence to, from, and in 

regard to the applicants; 

(8) summary and dates and content of contacts 

prior to and following approval for adoption 

until the decree of adoption is entered; 

(9) copies of information given to the applicant 

and family concerning the child or children to 

be placed for adoption with them; 

(10) copies of all legal documents pertaining to the 

adoption; and 

(11) summary containing the placement decision, 

pre-placement and post-placement contacts 

with the family and child. 

(b) In the event the applicants were not accepted or did not have 

a child placed with them, the record shall contain a narrative 

indicating the reasons and the manner in which the decision was 

presented to the applicants. The agency may destroy in office 

the closed records of applicants who were not accepted or who 

did not have a child placed with them three years after the date 

of their application or application denial, unless included in a 

federal or state fiscal or program audit that is unresolved. The 

agency may destroy the record in office when released from all 

audits. 

(c) All individual children, birth parents and adoptive family 

records shall be permanently retained by the agency. After a 

period of seven years, the files may be microfilmed or scanned 

in accordance with provisions of G.S. 8-45.1, following which 

the original files may be destroyed by a shredding process. 

(d) All children, birth parents and adoptive applicant and family 

records shall be kept in locked quarters and information from the 

files may be divulged only in compliance with provisions of 

G.S. 48-9-103 and G.S. 48-9-105. 


153; 



813


10A NCAC 70I .0102 LICENSING PROCESS 

(a) The license process for a residential child-care facility shall 

consist of an application phase, an investigatory phase and a 

decision making phase. 

(b) Application Phase. An applicant shall apply for a license to 

operate a residential child-care facility to the licensing authority 

prior to the first child being accepted for full-time care. An 

applicant shall apply for renewal of a license to operate a 

residential child-care facility to the licensing authority prior to 

the expiration of the current license. 

(c) Investigatory Phase. During the investigatory phase, the 

applicant shall submit to the licensing authority information on 

the proposed program and projected methods of operation. For 

proposed private and public residential child-care facilities, the 

licensing authority staff, together with those seeking licensure, 

shall complete the investigatory phase 

(d) Decision Regarding Licensure. An applicant shall submit all 

the materials required by Subchapters 70I and 70J, to the 

licensing authority prior to the decision to issue a license to 

operate. 


Eff. July 1, 1999 (See S.L. 1999, c. 237, s. 11.30); 


10A NCAC 70I .0201 DEFINITIONS 

In addition to the definitions found in G.S. 131D–10.2, the 

following definitions apply to the rules in Subchapters 70I and 

70J of this Chapter. 

(1) "Child-caring institution" means a residential 

child-care facility utilizing permanent 

buildings located on one site for 13 or more 

foster children. 

(2) "Children's foster care camp" means a 

residential child-care facility that provides 

foster care at either a permanent camp site or 

in a wilderness setting. 

(3) "Direct service personnel" means staff 

responsible for the direct services provided to 

children and their families including child-care 

workers, residential counselors, 

house/teaching parents, social workers, 

recreation and education staff. 

(4) "Emergency shelter care" means 24 hour care 

provided in a residential child-care facility for 

a period not to exceed 90 days, in accordance 

with 10A NCAC 70J .0200. 

(5) "Executive director" means the person who is 

in charge of the agency and who is responsible 

for developing and supervising the program of 

residential child-care and services. 

(6) "Foster child" means an individual less than 18 

years of age who has not been emancipated 

under North Carolina law, or one who is 18 to 

21 years of age and continues to reside in a 

residential child-care facility, who is 

dependent, neglected, abused, abandoned, 

destitute, orphaned, undisciplined, delinquent, 

or otherwise in need of care away from home 

and not held in detention. 

(7) "Full license" means a license issued for two 

years when all licensing requirements are met. 

(8) "Group home" means a residential child-care 

facility operated either under public or private 

auspices that receives for 24-hour care no 

more than 12 children. This number includes 

the caregivers' own children and other relative 

children residing in the home under the age of 

18. The composition of the group shall 

include no more than two children under the 

age of two, four children under the age of six, 

and six children under the age of 12. A group 

home shall not provide day care, nor shall it be 

available to adults in the community who wish 

to rent rooms. 

(9) "License" means permission granted in writing 

to a corporation, agency or county government 

by the licensing authority to engage in the 

provision of full-time residential child-care or 

child-placing activities based upon an initial 

determination, and biennially thereafter, that 

such corporation, agency, or a county 

government has met and complied with 

standards set forth in this Subchapter. 

(10) "Licensing authority" means the North 

Carolina Department of Health and Human 

Services, Division of Social Services. 

(11) "Licensed medical provider" means a 

physician, physician's assistant or certified 

nurse practitioner. 

(12) "Out-of-home family services agreement" 

means a document developed with the child's 

custodian that identifies a child's permanency 

plan (return to parents, placement with 

relatives, guardianship, and adoption). The 

out-of-home family services agreement 

describes a child's needs, goals and objectives 

in a residential child-care facility and the tasks 

and assignments of the staff of the residential 

child-care facility to meet a child's and 

family's needs, goals and objectives. The outof-home 

family services agreement specify 

what must change in order for the parents to 

meet the needs of the child. Basic goal 

planning steps include: 

(a) involving the family in the process; 

(b) identifying goals that are both 

realistic and achievable; 

(c) using family strengths when outlining 

objectives and activities to attain the 

goals; 

(d) spelling out the steps necessary for 

success; 

(e) documenting who will do what and 

when they will do it; and 

(f) providing for review. 


814


(13) "Owner" means any individual who is a sole 

proprietor, co-owner, partner or shareholder 

holding an ownership or controlling interest of 

five percent or more of the applicant entity. 

Owner includes a "principal" or "affiliate" of 

the residential child-care facility. 

(14) "Private agency residential child-care facility" 

means a residential child-care facility under 

the auspices of a licensed child-placing agency 

or another private residential child-care 

facility. 

(15) "Private residential child-care facility" means a 

residential child-care facility under the control, 

management and supervision of a private nonprofit 

or for-profit corporation, sole 

proprietorship or partnership that operates 

independently of a licensed child-placing 

agency or any other residential child-care 

facility. 

(16) "Provisional license" means a license issued 

for a maximum of six months enabling a 

facility to operate while some below standard 

component of the program is being corrected. 

A provisional license for the same below 

standard program component shall not be 

renewed. 

(17) "Public agency residential child-care facility" 

means a residential child-care facility under 

the control, management or supervision of a 

county department of social services. 

(18) "Public residential child-care facility" means a 

residential child-care facility under the control, 

management or supervision of a county 

government other than a county department of 

social services. 

(19) "Staff" means full-time, part-time and 

contracted staff persons. 

(20) "Visitation and contact plan" means a specific 

document that is developed by the child's 

custodian for each child that specifies whom 

the child may visit with and have contact with 

and the circumstances under which the visits 

and contacts shall take place. 

(21) "Volunteer" means a person working in a staff 

position for an agency who is not paid. 

History Note: Authority G.S. 131D-10.3; 131D-10.5; 143B- 

153; 





10A NCAC 70I .0202 RESPONSIBILITY TO 

LICENSING AUTHORITY 

(a) A residential child-care facility shall biennially submit to the 

licensing authority the information and materials required by 

rules in Subchapters 70I and 70J of this Chapter to document 

compliance and to support issuance of a license. 

(b) A residential child-care facility shall submit to the licensing 

authority a biennial statistical report of program activities. 

(c) A residential child-care facility shall provide written 

notification to the licensing authority of a change in the 

executive director. 

(d) A residential child-care facility shall provide written 

notification to the licensing authority of any changes in policies 

and procedures to assure that the changes are in compliance with 

the rules in Subchapters 70I and 70J of this Chapter. The 

residential child-care facility shall receive written approval from 

the licensing authority before instituting any changes in policies 

and procedures. 

(e) The office of a residential child-care facility shall be 

maintained in North Carolina. The licensee shall carry out 

activities under the North Carolina license from this office. 

(f) The current license of a residential child-care facility shall be 

posted at all times in a conspicuous place within the facility. 

(g) When there is a death of a child who is a resident of a 

residential child-care facility, the executive director or his or her 

designee shall immediately notify the licensing authority in 

accordance with Rule. 0614 of this Subchapter. 

(h) The agency shall provide to the licensing authority at the 

time of license application the legal name and social security 

number of each individual who is an owner. 

(i) The agency shall provide to the licensing authority written 

notification of a change in the legal name of any owner and 

individuals holding an interest of at least five percent within 30 

days following the changes. 

(j) A residential child-care facility shall notify the local 

management entity where services are being provided within 24 

hours of placement that a child may require mental health, 

developmental disabilities or substance abuse services. 

(k) If a residential child-care facility is monitored by a, local 

management entity the residential child-care facility shall 

provide data to the local management entity as required by 

Department of Health and Human Services, pursuant to 10A 

NCAC 27G .0608, for monitoring and reporting to the General 

Assembly. 


153; 





10A NCAC 70I .0203 SUBSTANTIATIONS OF 

NEGLECT AGAINST THE FACILITY 

(a) When there is a substantiation of neglect against a residential 

child-care facility by a county department of social services, a 

corrective action plan shall be submitted by the executive 

director or his/her designee to the licensing authority within 30 

days of the case decision by the county department of social 

services conducting the investigative assessment. 

(b) Following the receipt of the corrective action plan, the 

licensing authority shall make one unannounced on-site visit to 

the facility within the 30 days following the receipt of the 

corrective action plan. 


815


(c) The licensing authority shall make subsequent onsite visits 

at varying frequencies and times throughout the ensuing year to 

determine that the corrective actions have been implemented. 


Eff. July 1, 1999 (See S L. 1999, c.237, s. 11.30); 


10A NCAC 70I .0204 LICENSURE PROCEDURES 

(a) Private Residential Child-Care Facility Licensure 

Procedures: 

(1) A private residential child-care facility shall 

submit the following materials to the licensing 

authority during the application phase: 

(A) Articles of Incorporation; 

(B) Bylaws; and 

(C) Governing Board list with names, 

addresses, occupations, length of time 

and terms on the board, and board 

positions held and number of terms, if 

applicable. 

(2) A private residential child-care facility shall 

submit the following materials to the licensing 

authority during the investigatory phase before 

an initial license may be issued, with the 

exception of Part (K) of this Subparagraph 

which shall be maintained at the facility for 

review: 

(A) 

(B) 

(C) 

(D) 

(E) 

License Application and Summary; 

Program policies and procedures 

stating the purpose, outlining 

admission criteria, as well as defining 

areas of responsibilities for services 

which the facility will assume for 

children in care and for services to be 

provided by the referring agency or 

individual, and discharge criteria; 

Description of the child-care program 

and evaluation method; 

Program forms; 

Budget outlining anticipated costs 

and sources of revenue for the first 

year of operation; 

(F) Personnel policies; 

(G) Organizational chart; 

(H) Job descriptions; 

(I) Staff resumes; 

(J) Full and part-time staff work 

schedules; 

(K) A medical examination report 

completed by a licensed medical 

provider on all full-time and part-time 

direct care personnel residing in the 

facility (this includes any staff 

member who may serve in the 

capacity of direct care staff), and any 

children or relative children of direct 

care personnel residing in the facility 

within 12 months prior to the license 

(L) 

(M) 

(N) 

(O) 

date. There shall be documentation 

that all adult direct care personnel 

residing in the facility have had a TB 

skin test or chest x-ray prior to initial 

licensure unless contraindicated by a 

licensed medical provider. The birth 

children of direct care personnel who 

reside in the facility shall be tested 

for TB only if one or more of the 

parents tests positive for TB. There 

shall be documentation that adopted 

children or other relative children 




licensed medical provider. A medical 

history form (DSS-5017) shall be 

completed by all direct care personnel 

residing in the facility at the time of 

initial licensure. A medical 

examination report, TB test (if 

required) and a medical history form 

(DSS-5017) shall be completed on 

any children or relative children of 

direct care personnel who 

subsequently begin residing in the 

facility; 

Fire and Building Safety Inspection 

Report completed and approved by 

the local fire inspector; 

Inspection Form for Residential Care 

Facilities, completed and approved by 

the county sanitarian; 

Written approval from the local 

zoning authority; and 

Written approval from the Division of 

Health Service Regulation. 

(3) The licensing authority shall make one or 

more visits to the residential child-care facility 

to complete the licensing study. 

(4) Based on information obtained during the 

investigatory phase, licensing authority staff 

shall evaluate the residential child-care 

facility's proposed program and methods of 

operation to determine compliance with rules 

in Subchapters 70I and 70J of this Chapter. 

(5) The licensing authority shall notify the 

residential child-care facility in writing of the 

licensure decision, conditions of the license 

and any recommendations regarding the childcare 

program. 

(b) Licensure Procedures for Private Agency, Public Agency 

and Public Residential Child-Care Facilities. 

(1) A private agency, public agency and public 

residential child-care facility shall submit the 

following materials to the licensing authority 

before a license may be issued, with the 

exception of Part (I) of this Subparagraph 


816


which shall be maintained at the facility for 

review: 

(A) License Application and Summary; 

(B) Program policies and procedures 

stating purpose, outlining admission 

criteria, as well as defining areas of 

responsibilities and discharge criteria; 

(C) Description of the child-care program 

and evaluation method; 

(D) Program forms; 

(E) Budget outlining anticipated costs 

and sources of revenue for the first 

year of operation; 

(F) Job descriptions; 

(G) Staff resumes; 

(H) Full and part-time staff work 

schedules; 

(I) A medical examination report 


provider on all full- and part-time 





children or relative children of direct 

care personnel residing in the facility 

within 12 months prior to the license 

date. There shall be documentation 

that all adult direct care personnel 




licensed medical provider. The birth 

children of direct care personnel who 

reside in the facility shall be tested 

for TB only if one or more of the 

parents tests positive for TB. There 

shall be documentation that adopted 





licensed medical provider. A medical 

history form (DSS-5017) shall be 

completed by all direct care personnel 

residing in the facility at the time of 

initial licensure. A medical 

examination report, TB test (if 

required) and a medical history form 

(DSS-5017) shall be completed on 

any children or relative children of 

direct care personnel who 

subsequently begin residing in the 

facility; 

(J) Fire and Building Safety Inspection 

Report completed and approved by 

the local fire inspector; 

(K) 

(L) 

(M) 

Inspection Form for Residential Care 

Facilities, completed and approved by 

the county sanitarian; 

Written approval from the zoning 

authority; and 

Written approval from the Division of 

Health Service Regulation. 

(2) The licensing authority staff shall notify the 

residential child-care facility in writing of the 

licensure decision, conditions of the license, 

and any recommendations regarding the 

residential child-care program. 

(c) Licensure Procedures Following Second Year of Operation 

for all residential child-care facilities. 

(1) Prior to the license expiration date, the 

licensing authority shall notify a residential 

child-care facility in writing of the licensure 

renewal requirements. 

(2) A residential child-care facility shall submit 

the following materials to the licensing 

authority before a license for a residential 

child-care facility may be renewed, with the 

exception of Parts (E) and (F) of this 

Subparagraph, which shall be maintained at 

the facility for review: 

(A) 

(B) 

(C) 

(D) 

License Application and Summary; 

Governing board list with names, 

addresses, occupations, length of time 

and terms on the board, and board 

positions held and number of terms, if 

applicable; 

Budget outlining anticipated costs 

and sources of revenue of the next 

operating year, with estimation of 

daily cost of care per child for past 

year; 

Annual statistical report of program 

activities as required by Rule 

.0202(b) of this Section; 

(E) A medical examination report 


provider on all full- and part-time 






residing in the living unit prior to 

employment; 

(F) 

A medical history form completed by 

all full- and part-time direct care 

personnel residing in the facility (this 

includes any staff member who may 

serve in the capacity of direct care 

staff) who have been employed since 

the last relicensing period and any 


residing in the facility. A residential 

child-care facility shall have 


817


(G) 

(H) 

documentation that all full- and parttime 

direct care personnel residing in 

the facility who have been employed 

since the last relicensing period have 

had a TB skin test or chest x-ray prior 

to employment unless contraindicated 

by a licensed medical provider. The 

birth children of direct care personnel 

who reside in the facility shall be 

tested for TB only if one or more of 

the parents test positive for TB. 

There shall be documentation that 

adopted children and other relative 

children residing in the facility have 

had a TB skin test or chest x-ray 

unless contraindicated by a licensed 

medical provider; 

The residential child-care facility 

shall have fire inspections from the 

local fire inspector. Reports of such 

inspections shall be maintained in the 

facility and available for review and 

shall be submitted to the licensing 

authority biennially with the licensure 

renewal application; 

The residential child-care facility 

shall have sanitation inspections from 

the county sanitarian. Reports of 

such inspections shall be maintained 

in the facility and available for review 

and shall be submitted to the 

licensing authority biennially with the 

licensure renewal application; 

(I) Updated or revised materials 

including policies, procedures, forms, 

or amendments to Bylaws or Articles; 

and 

(J) 

If the agency receives foster care 

maintenance payments of State funds, 

an annual audit of its financial 

statements that is in compliance with 

10A NCAC 70D .0105(a)(5). 

(3) The licensing authority shall biennially 

conduct onsite visits to private residential 

child-care facilities, private agency residential 

child-care facilities, public agency residential 

child-care facilities or public residential childcare 

facilities to determine if licensure 

standards for residential child-care facilities 

continue to be met. The licensing authority 

may conduct announced and unannounced onsite 

visits to residential child-care facilities. 




10A NCAC 70I .0301 GOVERNANCE 

(a) A private residential child-care facility shall operate under 

articles of incorporation that are filed with the Department of the 

Secretary of State (http://www.secretary.state.nc.us). A private 

residential child-care facility shall submit a copy of the articles 

of incorporation to the licensing authority. The articles of 

incorporation shall have a statement of purpose which describes 

the geographic area to be served, kinds of children to be 

admitted, and the range of services to be provided. 

(b) A private residential child-care facility shall have a 

governing body that exercises authority over and has 

responsibility for its operation, policies and practices. The 

residential child-care facility shall notify the licensing authority 

of the type and structure of the governing body. 

(c) In the case of non-profit or for-profit corporations, the 

governing body shall: 

(1) be composed of no fewer than six members to 

include men and women; 

(2) provide for a system of rotation for board 

members, for limitation to the number of 

consecutive terms a member may serve; 

(3) establish standing committees; 

(4) provide orientation for new members; and 

(5) meet at least four times annually with a 

quorum present. 

(d) Public residential child-care facilities operated by 

governmental agencies shall be governed by appointed officials 

of a governmental unit. 

(e) A residential child-care facility shall submit to the licensing 

authority a list of members of the governing body. This list shall 

indicate the name, address and terms of membership of each 

member and shall identify each officer and the term of that 

office. 

(f) A residential child-care facility shall permanently maintain 

meeting minutes of the governing body and committees. 


Eff. July 1, 1999 (See S. L. 1999, c. 237, s. 11.30); 


10A NCAC 70I .0302 RESPONSIBILITIES OF THE 

GOVERNING BODY 

The governing body shall: 

(1) adopt administrative, personnel, and program 

policies which are reviewed at least every two 

years; 

(2) review and approve a budget prior to the 

beginning of the fiscal year; 

(3) establish and review policies on fundraising 

and investment management at least every two 

years; 

(4) annually review and accept the financial audit, 

in the case of a private residential child-care 

facility; 

(5) employ an executive director (CEO, director, 

president, superintendent) and delegate 

authority to that person to employ and dismiss 

staff, implement board policies, and manage 

day-to-day operation of the facility; 


818


(6) ensure that the criminal history of the 

executive director is checked prior to 

employment, and based on the criminal 

history, a determination is made concerning 

the individual's fitness for employment. The 

governing body shall ensure that searches of 

the North Carolina Sex Offender and Public 

Protection Registry and the North Carolina 


G.S. 131E-256) are completed prior to 

employment, and based on these searches, a 

determination is made concerning the 

individual's fitness for employment. The 

governing body shall submit authorization to 

the licensing authority to search the 

Responsible Individuals List, as defined in 

10A NCAC 701 .0102, to determine if the 

executive director has had child protective 

services involvement resulting in a 

substantiation of child abuse or serious 

neglect, and based on this search, a 

determination is made concerning the 

individual's fitness for employment. The 

governing body shall require that the executive 

director provide a signed statement prior to 

employment that he/she has not abused or 

neglected a child or has been a respondent in a 


removal of a child or has had child protective 


removal of a child. The governing body shall 

require that the executive director provide a 

signed statement that the executive director 

has not abused, neglected or exploited a 

disabled adult and that the executive director 

has not been a domestic violence perpetrator. 

Agencies or applicants that do not have a 

governing body shall provide this information 

directly to the licensing authority. 

(7) permit the executive director or his or her 

designee to attend all meetings of the 

governing body and committees with the 

exception of those held for the purpose of 

reviewing his performance, status, or 

compensation; 

(8) annually evaluate and document the executive 

director's performance through specific criteria 

and objectives; 

(9) initiate and review an annual evaluation of 

services and direct needed changes based on 

the evaluation; 

(10) annually review facility needs related to risk 

management; and 

(11) maintain a long range plan and review 

annually. 


153; 

Eff. July 1, 1999 (See S.L. 1999, c.237, s. 11.30); 


10A NCAC 70I .0303 FINANCES AND INSURANCE 

(a) Fiscal Management: The executive director shall: 

(1) implement sound financial practices in order to 

prepare and review the budget, and to be 

accountable to the community; and 

(2) report to the governing body at least quarterly 

or more frequently, if requested by any 

member of the governing body, on present 

financial status and anticipated problems. 

(b) A residential child-care facility shall: 

(1) have a plan of financing which assures 

sufficient funds to enable it to carry out its 

defined purposes and provide proper care and 

services for children; 

(2) develop adequate resources and manage them 

prudently in order to obtain the revenues that 

support its programs and prevent the 

interruption of needed care and services to 

clients; 

(3) have a written budget specifying income and 

expenditures which serves as the plan for 

management of its financial resources for the 

program year; and 

(4) have a written policy on fees for services 

which shall be inclusive of all fees and 

charges. No cost beyond the written policy 

shall be imposed. The agency policy shall 

describe the relationship between fees and 

services provided and the conditions under 

which fees are charged or waived. The agency 

shall make the policy available to applicants 

for services at the time an application for 

services is made. 

(c) Audit: If the agency receives foster care maintenance 

payments of State funds, it must submit an annual audit of its 

financial statements that is in compliance with 10A NCAC 70D 

.0105(a)(5). 

(d) Insurance: A residential child-care facility shall notify the 

licensing authority, parents, guardian and legal custodian (if 

applicable) of its status related to liability insurance for the 

agency and staff. A residential child-care facility shall provide a 

written statement of its status related to liability insurance for the 

residential child-care facility and staff to applicants for services 

at the time an application for service is made. 




10A NCAC 70I .0304 

PROCEDURES 

INTERNAL OPERATING 





819


10A NCAC 70I .0305 RECORDKEEPING AND 

REPORTING 

(a) A residential child-care facility shall develop and enforce a 

policy on confidentiality that shall: 

(1) identify the individuals with access to or 

control over confidential information; 

(2) specify that persons who have access to 

records or specified information in a record be 

limited to persons authorized by law 

specifically including the parents, guardian or 

legal custodian (if applicable) and children (12 

years of age and older), agency staff auditing, 

licensing, or accrediting personnel; and those 

persons for whom the agency has obtained a 

consent for release of confidential information 

signed by the parents, guardian or legal 

custodian; and 

(3) require that when a child's information is 

disclosed, a signed consent for release of 

information is obtained on a consent for 

release form. 

(b) A residential child-care facility shall: 

(1) provide a secure place for the storage of 

records with confidential information; 

(2) inform any individual with access to 

confidential information of the provisions of 

this Rule; 

(3) ensure that, upon employment and whenever 

revisions are made, staff sign a compliance 

statement which indicates an understanding of 

the requirements of confidentiality; 

(4) permit a child to review his or her case record 

in the presence of facility personnel on the 

facility premises, in a manner that protects the 

confidentiality of other family members or 

other individuals referenced in the record, 

unless facility personnel determine the 

information in the child's case record would be 

harmful to the child; 

(5) in cases of perceived harm to the child, 

document in writing any refusals to share 

information with the parents, guardian and 

legal custodian (if applicable) and child (12 

years of age and older); 

(6) maintain a confidential case record for each 

child; 

(7) maintain confidential personnel records for all 

employees; and 

(8) maintain confidential records for all 

volunteers. 

(c) A residential child-care facility may destroy in office a 

closed record in which a child has been discharged for a period 

of three years unless included in a federal or state fiscal or 

program audit that is unresolved. A residential child-care 

facility may destroy in office a record three years after a child 

has reached age 18, unless included in a federal or state fiscal or 

program audit that is unresolved. The agency may destroy these 

closed records in office when the federal or state fiscal or 

program audits have been resolved and the agency is released 

from all audits. 




10A NCAC 70I .0306 CLIENT RIGHTS 

(a) A residential child-care facility shall develop and implement 

policies and procedures to protect the individual rights and 

dignity of children and families. 

(b) A residential child-care facility shall have a client's and 

family's rights policy which includes that each child has the right 

to: 

(1) privacy; 

(2) be provided adequate food, clothing, and 

shelter; 

(3) have access to family time and have telephone 

conversations with family members, when not 

contraindicated in the child's visitation and 

contact plan; 

(4) have personal property and a space for storage; 

(5) express opinions on issues concerning the 

child's care or treatment; 

(6) receive care in a manner that recognizes 

variations in cultural values and traditions; 

(7) be free from coercion by facility personnel 

with regard to religious decisions. The facility 

shall have a process to assure that, whenever 

practical, the wishes of the parents or 

guardians with regard to a child's religious 

participation are ascertained and followed; 

(8) not be identified in connection with publicity 

for the facility which shall bring the child or 

the child's family embarrassment; and 

(9) not be forced to acknowledge dependency on 

or gratitude to the facility. 

(c) A residential child-care facility shall have a policy which 

prohibits direct involvement by a child in funds solicitation for 

the facility. 

(d) A residential child-care facility shall have a policy which 

prohibits the child's participation in any activities involving 

audio or visual recording and research without the voluntary 

signed, time-limited consent of the parents, guardian or legal 

custodian and child (12 years of age and older). 




10A NCAC 70I .0307 GRIEVANCE PROCEDURES 

(a) A residential child-care facility shall provide to each child 

and parents, guardian or legal custodian upon admission: 


procedures which the child, parents, guardian 

or legal custodian follow to register 

complaints; 

(2) information about a child's rights; 


820



of the facility; and 

(4) the process for resolution of a complaint. 

(b) Upon resolution of a grievance, a residential child-care 

facility shall maintain a copy of the complaint and the resolution 

in the case record. 


Eff. July 1, 1999 (See S.L. 1999, c.237 s. 11.30); 


10A NCAC 70I .0401 PERSONNEL POLICIES 

A residential child-care facility shall have written personnel 

policies and procedures which shall be provided to all employees 

(full-time, part-time and contracted). Revisions of all personnel 

policies shall be in writing and provided to employees. Policies 

and procedures shall address the following areas: 

(1) recruitment and hiring; 

(2) compensation structure and benefits; 

(3) orientation plan for new employees; 

(4) training and staff development; 

(5) regulations regarding use of equipment and 

assets; 

(6) notification of work schedule; 

(7) description of leave policy, including time-off 

duty for disciplinary actions for direct care 

staff; 

(8) termination; 

(9) operational procedures regarding grievances 

which provide the opportunity and means to 

lodge complaints and appeals; 

(10) description of the process for revision of 

personnel policies; 

(11) annual evaluations; 

(12) staff quarters and searches; and 

(13) disciplinary measures. 




10A NCAC 70I .0402 PERSONNEL DEPLOYMENT 

(a) A residential child-care facility shall ensure that the 

deployment of personnel supports the stated mission of the 

facility. 

(b) There shall be a written job description for each position, 

which includes duties, responsibilities, qualifications, and to 

whom the position is responsible. Job descriptions shall be 

consistent with duties being performed. 

(c) A residential child-care facility shall have procedures for 

annual evaluation of the work performance of each employee 

which provides for employee participation in the process. 

(d) A residential child-care facility shall have an organizational 

plan which delineates the number of staff and levels of 

supervisors/managers, taking into account the complexity and 

size of the workload of each staff. The plan shall demonstrate 

supervision of staff in accordance with the rules in Subchapters 

70I and 70J of this Chapter, if applicable. 




10A NCAC 70I .0403 PERSONNEL FILE 

A residential child-care facility shall maintain a personnel file 

for each employee (full-time, part-time and contracted) which 

includes the following: 

(1) application for employment including the 

record of previous employment; 

(2) documentation of at least three references; 

(3) applicable position specific credentials or 

certifications (prior to employment certified 

college transcripts shall be obtained for 

positions requiring college degrees); 

(4) medical information required for each staff by 

licensure standards (initial and biennial 

medical examinations, initial TB test and 

medical history form); 

(5) signed statement indicating the employee's 

understanding of and willingness to comply 

with confidentiality agreement requirements; 

(6) signed statement that the employee has no 

criminal convictions that would adversely 

affect his or her capacity and ability to provide 

care, safety and security for the children in 

residence; 

(7) criminal record checks certified by the Clerk 

of Superior Court; 

(8) results of the search of the North Carolina Sex 

Offender and Public Protection Registry; 

(9) results of the search of the North Carolina 


G.S. 131E-256); 

(10) results of the search of the Responsible 

Individuals List as defined in 10A NCAC 70A 

.0102 which indicates the employee has not 

had child protective services involvement 

resulting in a substantiation of child abuse or 

serious neglect; 

(11) a signed statement that the employee has not 

abused or neglected a child or has been a 


resulted in the removal of a child or has had 

child protective services involvement that 

resulted in the removal of a child; 

(12) signed statement that the employee has not 

abused, neglected or exploited a disabled 

adult; 

(13) signed statement that the employee has not 

been a domestic violence perpetrator; 

(14) record of completed orientation; 

(15) log of training; 

(16) written approval letter from executive director 

or his or her designee authorizing employee to 

administer physical restraint holds, if 

applicable; 

(17) annual performance evaluations; 

(18) documentation of disciplinary actions; 


821


(19) documentation of grievances filed; 

(20) employee’s starting and termination dates; 

(21) reason for termination; 

(22) signed and dated release or notation of 

employee's waiver of release for future 

employment references; and 

(23) documentation of a driving record check, if 

applicable. 


153; 



10A NCAC 70I .0404 PERSONNEL QUALIFICATIONS 

(a) Criminal Records Check by the Residential Child-Care 

Facility. Applicants, employees, volunteers or interns who have 

a history of criminal convictions that would adversely affect 

their capacity and ability to provide care, safety and security for 

the children in residence shall not be employed or utilized as 

volunteers or interns. A signed statement shall be obtained 

attesting that the applicant, employee, volunteer or intern does 

not have such a record prior to beginning employment, volunteer 

duties or internships. Prior to employment or before beginning 

volunteer duties or internships, a certified criminal record check 

for the applicant, volunteer or intern shall be obtained, and a 

search conducted of the North Carolina Sex Offender and Public 

Protection Registry and the North Carolina Health Care 

Personnel Registry (pursuant to G.S. 131E-256), and based on 

these searches, a decision shall be made concerning the 

individual's fitness to serve as an employee, volunteer or intern. 

The agency shall submit authorization to the licensing authority 

to search the Responsible Individuals List, as defined in 10A 

NCAC 70A .0102, to determine if the applicant, employee, 

volunteer or intern has had child protective services involvement 

resulting in a substantiation of child abuse or serious neglect, 

and based on this search, a determination shall be made 

concerning the individual's fitness to serve as an employee, 

volunteer or intern. The agency shall require that each applicant, 

employee, volunteer or intern provide a signed statement that the 

applicant, employee, volunteer or intern has not abused or 

neglected a child or has been a respondent in a juvenile court 

proceeding that resulted in the removal of a child or has had 

child protective services involvement that resulted in the 

removal of a child. A signed statement shall be obtained 

attesting that the applicant, volunteer or intern has not abused, 

neglected or exploited a disabled adult and has not been a 

domestic violence perpetrator. 

(b) Child Abuse. Employees, volunteers or interns who have a 

criminal conviction of child abuse shall not be permitted any 

contact with children. 

(c) Driver's License. Employees, volunteers or interns driving a 

residential child-care facility vehicle shall possess a valid 

driver's license appropriate for the type of vehicle used. 


153; 



10A NCAC 70I .0405 PERSONNEL POSITIONS 

(a) Executive Director. There shall be a full-time executive 

director for an agency with one or more facilities licensed for 20 

or more children. At a minimum, there shall be a part-time 

executive director for an agency with one or more facilities 

licensed for less than 20 children. 

(b) The executive director employed after July 1, 2008, shall 

have at a minimum a bachelor's degree from a college or 


Education Directory, which can be obtained by calling 1-888- 

349-7715. 

(c) The executive director shall: 

(1) be responsible for the general management and 

administration of the residential child-care 

facility in accordance with policies established 

by the governing board and licensing 

requirements; 

(2) explain licensing standards, residential childcare 

standards and the residential child-care 

facility's services to the board, the facility's 

constituency, other human service agencies 

and the public; 

(3) initiate and carry out the program of 

residential child-care as approved by the 

governing board; 

(4) report to the governing board on all phases of 

operation at least quarterly; 

(5) delegate authority and responsibility to staff 

qualified to ensure the maintenance of the 

residential child-care facility's operations; 

(6) establish and oversee fiscal practices, present 

the annual operating budget and quarterly 

reports to the governing board; 

(7) evaluate, at least annually, the training needs 

of the staff; plan and implement staff training 

and consultation to address identified needs; 

(8) employ and discharge staff and meet on a 

regular basis with administrative and 

management staff to review, discuss and 

formulate policies and procedures; 

(9) supervise staff who report directly to the 

executive director; and 

(10) conduct an annual individual written 

evaluation of each staff member who reports 

directly to the executive director. This 

evaluation shall contain both a review of job 

responsibilities and goals for future job 

performance. 

(d) Clerical, Maintenance and Other Support Personnel. The 

residential child-care facility shall employ or contract personnel 

qualified to perform all clerical, support and maintenance duties. 

(e) Business and Financial Personnel. The residential child-care 

facility shall employ or contract personnel to perform all 

business, accounting and financial functions. 

(f) Direct Care Service Personnel. Any staff member who 

assumes the duties of direct care service personnel in the living 

unit shall comply with all the standards for direct care services 

personnel in the living unit. 


822


(1) Direct care service personnel, hired after 

October 1, 2008, shall: 

(A) have a high school diploma or GED; 

(B) complete a medical history form prior 

to assuming the position; 

(C) have a medical examination by a 

licensed medical provider 12 months 

prior to assuming the position and 

biennially thereafter. This report 

shall include a statement indicating 

the presence of any communicable 

disease which may pose a risk of 

transmission in the residential childcare 

facility. After the initial 

examination, the cost of the medical 

examinations as required by licensure 

shall be at the expense of the facility; 

(D) have a TB skin test or chest x-ray, 

unless the medical provider advises 

against this test, prior to assuming the 

position; 

(2) Standards for direct care service personnel in 

the living unit: 

(A) There shall be one direct care staff 

personnel assigned to every six 

children during waking hours and one 

direct care staff personnel assigned to 

every ten children during overnight 

hours. 

(B) A residential child-care facility shall 

ensure that a staff member trained in 

cardiopulmonary resuscitation (CPR) 

and first aid, such as those provided 

by the American Red Cross, the 

American Heart Association or 

equivalent organizations, is always 

available to the children in care; and 

that direct care service personnel shall 

receive training in first aid and CPR 

within the first thirty days of 

employment. Training in CPR shall 

be appropriate for the ages of children 

in care. First aid and CPR training 

shall be updated as required by the 

American Red Cross, the American 

Heart Association or equivalent 

organizations. 

(C) A residential child-care facility shall 

ensure that direct care service 

personnel receive supervision and 

training in the areas of child 

development, permanency planning 

methodology, group management, 

preferred discipline techniques, 

family relationships, human 

sexuality, health care and 

socialization, leisure time and 

recreation. In addition, the residential 

child-care facility shall provide 

(D) 

(E) 

training to direct care service 

personnel in accordance with the 

needs of the client population, 

including, training in child sexual 

abuse. Direct care service personnel 

shall receive 24 hours of continuing 

education annually. 

A residential child-care facility shall 

ensure that direct care service 

personnel receive supervision in food 

preparation and nutrition when meals 

are prepared in the living unit. 

Any duties other than direct care 

services duties assigned to direct care 

service personnel shall be specified in 

writing and assigned in accordance 

with the residential child-care 

program. 

(3) Direct care service supervisory personnel, 

hired after October 1, 2008, shall have a high 

school diploma or GED. 

(4) Standards for direct care service supervisory 

personnel: 

(A) 

(B) 

There shall be at least one supervisor 

for every 15 direct care service 

personnel. 

Supervisory staff shall be selected on 

the basis of the knowledge, 

experience and competence required 

to manage direct service personnel. 

(C) Direct care service supervisory 

personnel shall receive 24 hours of 


(g) Social work supervisors shall be employed by the residential 

child-care facility to supervise, evaluate and monitor the work 

and progress of the social work staff. 

(1) Social work supervisors shall have at a 

minimum a bachelor's degree from a college or 

university listed in the most current edition of 

the Higher Education Directory, which can be 

obtained by calling 1-888-349-7715. Social 

work supervisors shall receive 24 hours of 


(2) Supervision of social workers shall be 

assigned as follows: 

Supervisors Required Social Workers Employed 

0 0-4 



1 5 

2 6-10 

3 11-15 

There shall be one additional supervisor for every one 

to five additional social workers. 

(h) Social workers shall be employed by the residential childcare 

facility to provide social work services to the children in 


823


care and their families in accordance with the out-of-home 


(1) Social workers shall have at a minimum a 

bachelor's degree from a college or university 

listed in the most current edition of the Higher 

Education Directory. Social workers shall 

receive 24 hours of continuing education 

annually. 

(2) There shall be at least one social worker 

assigned for every 15 children. 

(3) A residential child-care facility shall ensure 

that social workers receive supervision and 

training in the areas of child development, 

permanency planning methodology, group 

dynamics, family systems and relationships, 

and child sexual abuse. 

(4) Social workers shall be familiar with 

community resources for children and their 

families in addition to the agency's services. 

(5) Any duties other than social work duties 

assigned to staff employed as social workers 

shall be specified in writing and assigned in 

accordance with the residential child-care 

program. 




10A NCAC 70I .0407 VOLUNTEERS 

A residential child-care facility shall have a written description 

of the specific responsibilities and the provision of supervision 

of all volunteers. Volunteers shall: 

(1) meet the personnel qualifications specified in 

10A NCAC 70I .0404; 

(2) meet the qualifications and implement the 

duties of the position as specified; 

(3) be provided sufficient orientation, training and 

supervision to enable knowledge of the 

facility's purpose and services, the needs of 

children and families served and the role and 

responsibilities to be assumed; 

(4) provide three references relevant to the role 

and responsibilities to be assumed; 

(5) have documentation in their personnel files of 

a search of the Responsible Individual's List as 

defined in 10A NCAC 70A .0102; 

documentation of a criminal record check; 

documentation of a search conducted of the 

North Carolina Sex Offender, Public 

Protection Registry; and documentation of a 

search of the North Carolina Health Care 

Personnel Registry (pursuant to G.S. 131E- 

356). Volunteers shall provide signed 

statements prior to employment that they have 

not abused or neglected a child or have been a 


resulted in the removal of a child or have had 

child protective services involvement that 

resulted in the removal of a child. Volunteers 

shall also provide signed statements that they 

have not abused, neglected or exploited a 

disabled adult and that they have not been a 

domestic violence perpetrator; and 

(6) agree in writing to abide by the confidentiality 

policies of the agency. 




10A NCAC 70I .0501 ADMISSION POLICIES 

(a) A residential child-care facility shall have written admission 

policies which define and describe the age, sex and type of child 

to be served. 

(b) The residential child-care facility shall limit admissions to 

children who need out of home care apart from their families and 

for whom the facility is qualified by staff, program, buildings 

and services to give appropriate care. 

(c) In the case of private referrals, the residential child-care 

facility shall: 

(1) document reasonable efforts to prevent 

placement; 

(2) establish that the facility provides the least 

restrictive setting for the child; and 

(3) develop and implement an out-of-home family 

services agreement with the child's family for 

reunification, when possible. 

(d) In the case of out-of-state referrals (both public and private), 

the residential child-care facility shall not admit a child to the 

facility without the approval of Interstate Compact on the 

Placement of Children. 

(e) The residential child-care facility shall provide each 

applicant a handbook of admission procedures which includes: 

(1) a description of the admissions process; 

(2) the application, including any fees for 

services; 

(3) the preplacement activities for the child, 

parents, guardian or legal custodian; and 

(4) an explanation of the group assignment 

method. 

(f) The residential child-care facility shall maintain a referral log 

which includes: 

(1) child's name, age, sex, and race; 

(2) names of parents, guardian or legal custodian; 

and 

(3) disposition of admission. 




10A NCAC 70I .0502 ADMISSION PROCEDURES 

(a) A residential child-care facility shall establish and 

implement an intake process which includes: 

(1) receipt of an application and a face-to-face 

interview with the child, parents, guardian or 

legal custodian, and family whenever possible, 


824


with a specific effort to help the child 

understand the purpose of and need for out of 

home care and residential child-care services; 

and 

(2) an exchange of information about the facility's 

program and the child's needs, and to provide 

written information required in 10A NCAC 

70I .0307(a) and 10A NCAC 70I .0504(a). 

(b) The agency requesting placement shall complete a written 

intake study for each child accepted into residential care which 

includes: 

(1) circumstances that led to the need for 

placement, and the child's understanding of the 

placement; 

(2) assessment of family issues and justification 

that the facility meets the needs of the child 

and family; 

(3) short-term placement goals and long range 

permanent plan, including the parent's, 

guardian's or legal custodian's expectations; 

(4) description of the child's family and significant 

others; 

(5) description of the child's behavior; 

(6) child specific information, including: 

(A) medical history, including any current 

medical problems; 

(B) developmental history and current 

level of functioning; 

(C) 

(D) 

educational history, if applicable; and 

the results of current psychological 

testing, if applicable. 


154; 143B-155; 143B-156; 



10A NCAC 70I .0503 ADMISSION AGREEMENT 

(a) At admission, a residential child-care facility shall develop a 

written agreement between the parents, guardian or legal 

custodian and the facility which specifies the services to be 

provided by the facility and the responsibilities of the parents, 

guardian or legal custodian which includes the following: 

(1) statement of consent for placement by the 

parents, guardian or legal custodian, with the 

date of admission; 

(2) plan for providing admission information on 

the child's care, developmental, educational, 

medical, and psychological needs to the 

parents, guardian or legal custodian, the 

frequency of out-of-home family service 

agreement reviews, and receipt of program 

information required by 10A NCAC 70I 

.0307(a) and 10A NCAC 70I .0504(a); 

(3) statement of facility responsibility for working 

with the child's parents, guardian or legal 

custodian; 

(4) statement related to the provision of religious 

training and practices and consent to these by 

the parents, guardian or legal custodian; 

(5) visitation and contact plan; 

(6) fees and plan for payment of care; 

(7) plan for discharge to include projected length 

of stay; and 

(8) statement of facility responsibility for aftercare 

services. 

(b) For foster children 18 years of age and older residing in the 

residential child-care facility or reentering the facility, the 

facility shall obtain a voluntary placement consent signed by the 

foster child that specifies the conditions for residential child-care 

and services. 


154; 143B-155; 143B-156; 



10A NCAC 70I .0504 ORIENTATION 

(a) A residential child-care facility shall provide information 

and discuss the program policies governing residential care and 

services for children with the child's parents, guardian or legal 

custodian and the child at or before admission, which include: 

(1) family time, mail, gifts, personal possessions, 

money, and telephone calls and restrictions 

which may be imposed on these; 

(2) discipline and behavior management, 

including the use of searches of children's 

rooms and possessions; 

(3) program of religious training and practices; 

(4) educational resources; 

(5) trips away from the facility; 

(6) use of volunteers, if any; 

(7) physical restraint practices; 

(8) client rights and grievance procedures; and 

(9) daily and seasonal schedules. 

(b) The residential child-care facility shall obtain the out-ofhome 

family services agreement from the county department of 

social services at or before admission when the county 

department of social services is the legal custodian. In the case 

of a private placement, the facility shall develop an out-of-home 


(c) The residential child-care facility shall develop a written 

out-of-home family services agreement for each child within 30 

days of admission. The out-of-home family services agreement 

shall be reviewed initially within 60 days, the second review 

shall be within 90 days of the initial review and the third and 

subsequent reviews shall be held every six months, inviting 

parents or guardian, the legal custodian, if different, the child, as 

well as any individual or agency designated as providing 

services to participate. 

(d) The out-of-home family services agreement shall be 

developed utilizing information from an assessment of the 

child's and family's needs and include goals based on normal 

developmental tasks and needs. The goals and objectives shall 

be based on identified issues, be behaviorally specific, time 

limited and measurable and include staff assignments and 


825


specific strategies to be taken to meet the goals in the following 

areas: 

(1) special interests and personal goals; 

(2) intellectual, academic and vocational; 

(3) psychological and emotional; 

(4) medical; 

(5) social and family relationships; 

(6) cultural and spiritual; and 

(7) basic living skills. 

(e) A visitation and contact plan shall be developed for each 

child by the parents, guardian or legal custodian, if different. 

(f) A written discharge plan shall be part of the out-of-home 


(g) Direct care staff shall be informed about the child's out-ofhome 

family services agreement by the executive director of the 

residential child-care facility or his or her designee and shall 

participate or provide input at the reviews as described in 

Paragraph (c) of this Rule. 

(h) A copy of the child's out-of-home family services agreement 

shall be provided to the parents, guardian and the executive 

director of the residential child-care facility or his or her 

designee by the county department of social services serving as 

the legal custodian. The child's out-of-home family services 

agreement shall be provided to other agencies and individuals 

listed as providing services to the child and his or her parents or 

guardian. An age appropriate version of the out-of-home family 

services agreement shall be written and provided to each child 

by the legal custodian. 

(i) The child's out-of-home family services agreement review 


(1) an evaluation of progress towards meeting 

identified needs; 

(2) any new needs identified since the child's outof-home 

family services agreement was 

developed or last reviewed and behaviorallyspecific 

strategies to meet these needs, 

including instructions to staff; 

(3) an update of the estimated length of stay and 

discharge plan; and 

(4) signatures of the persons participating in the 

review. 

(j) If the legal custodian is a county department of social 

services, the residential child-care agency, department of social 

services, parents or guardian, other service providers and child 

shall develop a single out-of-home family services agreement. 

The residential child-care staff shall attend court reviews, child 

and family team meetings, agency reviews and permanency 

planning action team meetings. The Out-of-Home Family 

Services Agreement (DSS-5240 or DSS-5241) and the 

Transitional Living Plan (CARS Plan Review) may serve as the 

out-of-home family services agreement for the residential childcare 

facility if the documents reflect input and participation by 

the residential child-care facility. 




10A NCAC 70I .0505 DISCHARGE POLICIES AND 

PROCEDURES 

(a) A residential child-care facility shall have written discharge 

policies that will establish the guidelines for terminating the 

facility's residential care and services to the child and family to 

include the following: 

(1) opportunity for the parents, guardian or legal 

custodian to be informed and have opportunity 

to discuss the decision to discharge the child; 

(2) designation of a timeframe for the child to be 

discharged which allows sufficient time for the 

child and facility to prepare for departure and 

for arrangements to be made for the child's 

care; 

(3) discharge of a child under 18 years of age only 

to the parents, guardian or legal custodian; 

(4) completion of a summary within 30 days of 

discharge, which includes the following: 

(A) date, time and circumstances of 

discharge; 

(B) name, address and telephone number 

of the parents, guardian, legal 

custodian or authorized individual to 

whom the child was discharged; 

(C) services provided and evaluation; 

(D) recommendations for needed 

services; and 

(E) provision of or referral for after care 

services. 

(b) Upon a child's departure, the residential child-care facility 

shall provide a copy of the child's educational, medical and 

dental records, clinical materials (as available) and other related 

materials to the parents, guardian or legal custodian. 

(c) Upon a child's departure, the residential child-care facility 

shall send all personal clothing and belongings with the child. 

(d) Upon a child's departure, the residential child-care facility 

shall return prescription medications to the person or agency 

legally authorized to remove the child from residential childcare. 




10A NCAC 70I .0506 CLIENT RECORDS 

(a) A residential child-care facility shall maintain a client record 

for each child which contains the following: 

(1) documentation of placement authority by 


(2) written placement consent and agreement; 

(3) intake study and related documents; 

(4) completed application for services that 

includes demographic information on the child 

and the child's family; 

(5) documentation that verifies the child's birth; 

(6) pre-admission medical examination report or a 

medical examination report completed within 

two weeks of admission (unless the child's 

health status indicates the completion of a 


826


medical examination report sooner) and copies 

of subsequent medical examination reports; 

(7) immunization records; 

(8) out-of-home family services agreement and 

reviews; 

(9) court orders; 

(10) visitation and contact plan, including type, 

duration, location both on-site and off-site, and 

frequency, as well as any rationale for 

restrictions on family involvement; the facility 

shall maintain documentation of all family 

time; 

(11) consents for release of information; 

(12) consent for emergency medical treatment; 

(13) consents for out-of-state field trips; 

(14) consents for time-limited audio-visual 

recording signed by both the child and parents 

or guardian, and legal custodian (if 

applicable); 

(15) ongoing record of medical and dental care; 

(16) documentation of medical insurance; 

(17) progress notes; and 

(18) discharge summary including date of 

discharge, time of discharge and the name, 

address, telephone number and relationship of 

the person or agency to whom the child was 

discharged, a summary of services provided 

during care, needs which remain to be met and 

plans for the services needed to meet these 

goals. 

(b) The residential child-care facility shall maintain client 

records for the purpose of: 

(1) protecting the legal rights of the child, parents, 

guardian or legal custodian, and the facility; 

(2) documenting service provision to the child and 

family, including an evaluation of 

effectiveness of services provided; and 

(3) providing a source of information about 

individual children, as well as information for 

the facility in planning its program of care and 

services. 

(c) Staff members recording entries in client records shall date, 

initial or sign entries. 




10A NCAC 70I .0601 PROGRAM POLICIES AND 

PRACTICES 

(a) A residential child-care facility shall have a written program 

description and written program policies and procedures. 

(b) The residential child-care facility shall design a program to 

provide opportunities for positive learning experiences and to 

meet the needs of children and families. 

(c) The residential child-care facility shall provide a daily 

schedule of activities to meet the needs of children, which allows 

time for privacy and individual pursuits. 

(d) The residential child-care facility shall consider each child 

an unique individual, providing opportunities which take into 

consideration each child's ethnic and cultural backgrounds. 

(e) The residential child-care facility shall give each child 

individual attention and nurturing. 

(f) The residential child-care facility shall provide each child 

with the opportunity to have interaction with adults and children 

of both sexes. 

(g) The residential child-care facility shall instruct and supervise 

each child in personal care, hygiene, and grooming appropriate 

for the age, sex, race and developmental capacity of the child. 

(h) The residential child-care facility shall ensure that each child 

has normal contacts in the community in which the facility is 

located through participation in events such as school functions, 

recreational facilities, church youth groups, part-time paid 

employment, community service and volunteer work. An 

exception shall be made when community contact is inconsistent 

with the program design. 

(i) The residential child-care facility shall encourage each child 

to form friendships with children outside the facility, to visit 

friends in the community, and have their friends visit them at the 

facility. An exception shall be made when contact with friends 

is inconsistent with the program design or out-of-home family 

services agreement. 

(j) The residential child-care facility shall provide residents with 

access to telephones to maintain contact with friends and family 

members. 

(k) The residential child-care facility shall maintain a log of 

children in residence which includes: 

(1) child's name, age, sex and race; 

(2) name of parents, guardian or legal custodian; 

and 

(3) dates of admission and discharge. 




10A NCAC 70I .0602 FAMILY INVOLVEMENT 

(a) A residential child-care facility shall have written policies 

and procedures regarding family involvement which support and 

encourage families to participate in planning, communication 

and family time. 

(b) The facility shall afford parents, guardians and legal 

custodians opportunities to participate in planning events for 

their child and themselves. 

(c) Parents, guardians and legal custodians shall allow children 

to send and receive unopened mail and to have telephone 

conversations with parents, guardians, other family members and 

other individuals. An exception shall be made if it is determined 

by the parents, guardians or legal custodians that it is in the 

child's best interest, to restrict communication based on the outof-home 

family services agreement, visitation and contact plan 

or a court order. 

(d) The facility shall afford children and parents, guardians, 

other family members and individuals opportunities for family 

time, based on the purpose of placement and in support of the 

child's goals and in compliance with the child's visitation and 

contact plan. 


827






VISITING RESOURCES 




10A NCAC 70I .0604 HEALTH SERVICES 

(a) No child shall be accepted into a residential child-care 

facility without having had a medical examination by a licensed 

medical provider within 12 months prior to admission, or a 

medical examination by a licensed medical provider within two 

weeks after admission or sooner if indicated by the child's health 

status. The medical examination shall include a signed 

statement by the licensed medical provider specifying the child's 

medical condition and medications prescribed and indicating the 

presence of any communicable disease which may pose a risk of 

transmission in the facility. If a child is in the custody of a 

department of social services, is already scheduled to have and is 

having a medical examination report completed annually, and is 

entering a facility, the schedule of annual medical examination 

reports shall not be changed. A copy of the most recent medical 

examination report shall be obtained from the responsible county 

department of social services by the facility. 

(b) A child admitted to a residential child-care facility shall be 

immunized against diphtheria, tetanus, whooping cough, 

poliomyelitis, red measles (rubeola), rubella, mumps, and any 

other disease as required by 10A NCAC 41A .0400, as age 

appropriate, prior to admission. The facility shall obtain 

documentation of immunization. A copy of 10A NCAC 41A 

.0400 may be accessed at the following website 

(http://www.oah.state.nc.us/rules/) at the time of adoption of this 

Rule. 

(c) A residential child-care facility shall make arrangements 

with one or more licensed medical providers or medical clinics 

and with at least one dentist for the care of the children. 

(d) Each child shall have a medical examination at least once a 

year and more often as needed. A child shall not be allowed to 

participate in activities that pose risks to his or her health. Any 

illness, disease or medical condition of a child shall be identified 

and treated promptly through proper medical care. Children 

shall have a psychiatric or psychological examination or both 

when indicated and treatment when indicated. 

(e) Children shall have had a dental examination, by a licensed 

dentist, within one year prior to admission or arrangements shall 

be made for an exam within six weeks after admission and 

annually thereafter. The facility shall document dental services 

in the child's record. 

(f) The facility shall instruct direct child-care staff on medical 

care which may be given by them without specific orders from a 

licensed medical provider. The facility shall instruct direct 

child-care staff in the procedures for obtaining medical care 

beyond home health care and handling medical emergencies. 

(g) The residential child-care facility shall arrange with a 

hospital for the admission of children from the facility in the 

event of serious illness or emergency. 

(h) The residential child-care facility shall obtain a mouthpiece, 

utilize universal precautions and other precautionary equipment 

for administering CPR for the children in residence. 

(i) The residential child-care facility shall ensure that first aid 

kits are available for immediate use in each living unit, 

recreation area and in vehicles used to transport children. 

(j) The residential child-care facility shall not engage in any 

home health care practices that conflict with the control 

measures for communicable diseases in 10A NCAC 41A .0200. 

A copy of 10A NCAC 41A .0200 may be accessed at the 

following website (http://www.oah.state.nc.us/rules/) at the time 

of adoption of this Rule. 

(k) Direct child-care staff shall be able to recognize common 

symptoms of illnesses in children and be alert to any infectious 

condition and take proper precautions to prevent the spread of 

such a condition. 

(l) Direct child-care staff shall be able to provide home health 

care. A thermometer shall be kept available for use. When there 

is risk of transmission, arrangements shall be made for isolation 

and attendant care of a child with a communicable disease. 

(m) Prescription medications shall be administered only when 

approved by a licensed medical provider. 

(n) Non-prescription medication shall be administered only 

when approved by the parents, guardian, legal custodian or a 

licensed medical provider. 

(o) All medicines, prescription and non prescription, shall be 

stored in a locked cabinet, closet or box not accessible to 

children. 

(p) Each child shall have a medical record which contains 

written consent from the legal custodian or parent authorizing 

routine medical and dental treatment and emergency treatment. 

(q) Each child shall have a medical record which contains the 

preadmission medical examination report, or a medical 

examination report within two weeks after admission (or sooner 

if indicated by the child's health status), immunization records, 

and records of ongoing medical and dental care and 

examinations received, including hospitalizations, illnesses or 

accidents and treatment provided. 

(r) A residential child-care facility shall have written policies 

and procedures regarding the administration of medications to 

children placed in the residential child-care facility. The 

executive director of a residential child-care facility, or his or her 

designee, shall discuss and provide these policies and procedures 

to the parents, guardian or legal custodian, and the child (if 12 

years of age or older), upon admission. 

(s) The residential child-care facility shall maintain a 

Medication Administration Record (MAR) for each child that 

documents all medications administered. 

(t) The residential child-care facility shall document medication 

errors, adverse drug reactions and medication orders in the 

child's Medication Administration Record (MAR). 

(u) Upon discharge of a child, the residential child-care facility 

shall return prescription medications to the person or agency 

legally authorized to remove the child from residential childcare. 

The residential child-care facility shall provide oral or 

written education to the person or agency legally authorized to 

remove the child from residential child-care regarding the 

medications. Unwanted, out-dated, improperly labeled, 


828


damaged, adulterated or discontinued prescription medications 

shall be returned to a pharmacy for disposal. 




10A NCAC 70I .0605 ROUTINE ASPECTS OF 

HEALTH, PERSONAL HYGIENE, AND SAFETY 

(a) Staff shall receive training in and apply general infection 

control measures and procedures which include Universal 

Precautions specified by the Centers on Disease Control, U.S. 

Department of Health and Human Services, Public Health 

Services, Atlanta, Georgia. A copy of general infection control 

procedures which are hereby incorporated by reference including 

subsequent amendments and editions, may be obtained from 

National Technical Information Services, 5285 Part Royal Road, 

Springfield, Virginia, 22161, (703) 487-4650, at a cost of seven 

dollars ($7.00). 

(b) Each child in a residential child-care facility shall have 

enough sleep for his or her age at regular and reasonable hours 

and under conditions conducive to rest. 

(c) Staff of a residential child-care facility shall teach children 

the importance of cleanliness and how to keep themselves clean. 

Staff of a residential child-care shall provide training in all 

aspects of personal hygiene. 

(d) Each child shall have his or her own toothbrush, comb, 

towel and wash cloth and his or her own separate place for 

keeping these personal articles. Towels, wash cloths, and bed 

linens shall be changed weekly or more often as required by 

good hygiene. 




10A NCAC 70I .0606 NUTRITION 

(a) Meals served shall meet nutritional requirements as advised 

by the National Research Council which are hereby incorporated 

by reference including subsequent amendments and editions. 

Copies of the Recommended Daily Dietary Allowances may be 

obtained from the USDA Center for Nutrition Policy and 

Promotion, 1120 20 th Street, NW, Suite 200N, Washington, DC 

20036, at no cost. 

(b) Any modified food needs of an individual child shall be 

provided under the direction of a licensed medical provider or a 

licensed dietician/nutritionist. 

(c) Menus shall be planned by or in consultation with a licensed 

dietician/nutritionist biennially. The facility shall obtain 

documentation of consultation. 

(d) Staff who eat with children shall be served the same food 

except staff may be served tea and coffee. An exception shall be 

made if differences in age or special dietary needs are factors. 




10A NCAC 70I .0609 RECREATION AND LEISURE 

ACTIVITIES 

(a) A residential child-care facility shall develop a written 

schedule of planned recreational, leisure, or physical exercise 

activities with input from both staff and children which meets 

the children's developmental needs, and which shall be posted in 

each facility. 

(b) A residential child-care facility shall provide a variety of 

indoor and outdoor, individual and group recreational 

opportunities, with suitable space and competent adult 

supervision, appropriate to the age, interests, and needs of each 

child. 

(c) A residential child-care facility shall provide recreational 

opportunities for children to play with children of both genders. 

An exception shall be made when the program cares for only one 

gender. 

(d) A residential child-care facility shall have an individualized 

recreation plan for any child who has special recreational needs. 


Eff. July 1, 1999 (See S.L. 1999, c. 237 s. 11.30); 


10A NCAC 70I .0610 RELIGION AND SPIRITUAL 

DEVELOPMENT 


and procedures on religious training and practices and shall 

provide these policies to children and their parents, guardian or 

legal custodian prior to admission. 

(b) The residential child-care facility shall develop a plan for 

each child to meet the child's spiritual needs which takes into 

account the parent's, guardian's or legal custodian's position 

regarding a child's religious participation. 

(c) The residential child-care facility shall have written policies 

and procedures which include that each child is free from 

coercion with regard to religious decisions. 


Eff. July 1, 1999 (See S.L. 1999, c. 237s. 11.30); 


10A NCAC 70I .0612 WORK 

(a) A residential child-care facility shall provide opportunities 

for each child to learn the value of work and the development of 

good work habits. 

(b) The residential child-care facility shall comply with the 

provisions of the NC Wage and Hour Act concerning age, 

abilities, hours of labor and hazardous occupations in the 

assignment of work to children. 

(c) The residential child-care facility shall not substitute 

children for employed staff in assigning work. 

(d) The residential child-care facility shall not require children 

to be solely responsible for any major phase of operation or 

maintenance of the home such as cooking, laundering, 

housekeeping, farming, or repair work. 

(e) The residential child-care facility shall not require children 

to work for the purpose of paying the facility for their cost of 

care except when adolescents or young adults preparing for 

independent living enter into written agreements with the facility 


829


and are paid for their work and assume a gradual degree of 

responsibility for their own needs. 

(f) The residential child-care facility shall provide children who 

are on work assignments with adult supervision. 

(g) The residential child-care facility shall ensure that children's 

work assignments do not interfere with school, recreation, study 

period, adequate sleep, community contacts and family time. 




10A NCAC 70I .0613 DISCIPLINE AND BEHAVIOR 

MANAGEMENT 


and procedures on discipline and behavior management, 

including the type and use of physical restraint holds, if utilized. 

A copy of the written policies and procedures shall be provided 

to and discussed with each child and the child's parents, guardian 

or legal custodian prior to or at the time of admission. Policies 

and procedures shall include: 

(1) proactive means for interacting with and 

teaching children which emphasize praise and 

encouragement for exhibiting self control and 

desired behavior; and 

(2) methods for protecting children and others 

when a child is out of control. 

(b) A residential child-care facility shall implement standards 

for behavior which are reasonable and developmentally 

appropriate. 

(c) A residential child-care facility shall not engage in discipline 

or behavior management which includes: 

(1) corporal and physical punishment; 

(2) cruel, severe, or humiliating actions; 

(3) discipline of one child by another child; 

(4) denial of food, sleep, clothing or shelter; 

(5) denial of family contact, including family 

time, telephone or mail contacts with family; 

(6) assignment of extremely strenuous exercise or 

work; 

(7) verbal abuse or ridicule; 

(8) mechanical restraints; 

(9) a drug used as a restraint, except as outlined in 

Paragraph (e) of this Rule; 

(10) seclusion or isolation time-out; or 

(11) physical restraints except as outlined in 

Paragraph (f) of this Rule. 

(d) Time-out means the removal of a child to a separate 

unlocked room or area from which the child is not physically 

prevented from leaving. The residential child-care facility may 

use non-isolation time-out as a behavioral control measure when 

the facility provides it within hearing distance and sight of a staff 

member. The length of time alone shall be appropriate to the 

child's age and development. 

(e) A drug used as a restraint means a medication used to 

control behavior or to restrict a child's freedom of movement and 

is not a standard treatment for the child's medical or psychiatric 

condition. A drug used as a restraint shall be employed only if 

required to treat a medical condition. It shall not be employed 

for the purpose of punishment, staff convenience or as a 

substitute for adequate staffing. 

(f) Physical restraint of a child means physically holding a child 

who is at imminent risk of harm to himself or others until the 

child is calm. 

(g) Physical restraint holds shall be administered only by staff 

trained in the use of physical restraint holds. No child or group 

of children shall be allowed to participate in the physical 

restraint of another child. 

(h) Before employing a physical restraint, the residential childcare 

facility shall take into consideration the child's medical 

condition and any medications the child may be taking. 

(i) No child shall be physically restrained utilizing a protective 

or mechanical device. Physical restraint holds shall: 

(1) not be used for purposes of discipline or 

convenience; 

(2) only be used when there is imminent risk of 

harm to the child or others and less restrictive 

approaches have failed; 

(3) be administered in the least restrictive manner 

possible to protect the child or others from 

imminent risk of harm; and 

(4) end when the child becomes calm. 

(j) A residential child-care facility shall: 

(1) ensure that any physical restraint hold utilized 

on a child is administered by a trained staff 

member with a second trained staff member in 

attendance. An exception may occur when no 

other staff member is present or can be called 

for immediate assistance. Concurrent with the 

administration of a physical restraint hold and 

for a minimum of 15 minutes subsequent to 

the termination of the hold, a staff member 

shall monitor the child's breathing, ascertain 

the child is verbally responsive and 

motorically in control, and ensure the child 

remains conscious without any complaints of 

pain. If at any time during the administration 

of a physical restraint hold the child complains 

of being unable to breathe or loses motor 

control, the staff member administering the 

physical restraint hold shall immediately 

terminate the hold or adjust the position to 

ensure that the child's breathing and motor 

control are not restricted. If at any time the 

child appears to be in distress, a staff member 

shall immediately seek medical attention for 

the child. Following the use of a physical 

restraint hold, a staff member shall conduct an 

interview with the child about the incident, and 

the staff administering the physical restraint 

hold shall be interviewed about the incident; 

(2) document each incident of a child being 

subjected to a physical restraint hold on an 

incident report. This report shall include the 

following: 

(A) the child's name, age, height and 

weight; 

(B) the type of hold utilized; 


830


(C) 

(D) 

(E) 

(F) 

the duration of the hold; 

the staff member administering the 

hold; 

the staff member witnessing the hold; 

the supervisory staff who reviewed 

the incident report; less restrictive 

alternatives that were attempted prior 

to utilizing physical restraint; 

(G) the child's behavior which 

necessitated the use of physical 

restraint; whether the child's 

condition necessitated medical 

attention; 

(H) 

(I) 

planning and debriefing conducted 

with the child and staff to eliminate 

or reduce the probability of 

reoccurrence; and 

the total number of restraints of the 

child since admission. 

Within 72 hours, supervisory staff shall review 

the incident report to ensure that correct steps 

were followed and shall forward the report to 

the parents, guardian or legal custodian and the 

licensing authority on a report form developed 

by the licensing authority. If a child dies as a 

result of a physical restraint hold, the 

residential child-care facility shall report the 

death of the child to the parents, guardian or 

legal custodian and to the licensing authority 

within 72 hours; 

(3) submit a summary report to the licensing 

authority by the 10 th day of each month 

indicating the number of physical restraint 

holds used during the previous month on each 

child and any injuries that resulted; 

(4) ensure that any physical restraint hold utilized 

on a child is administered by a trained staff 

member who has completed at least 16 hours 

of training in behavior management, including 

techniques for de-escalating problem behavior, 

the appropriate use of physical restraint holds, 

monitoring of the child's breathing, verbal 

responsiveness and motor control. Training 

shall also include debriefing children and staff 

involved in physical restraint holds. 

Thereafter, staff authorized to use physical 

restraint holds shall annually complete at least 

eight hours of behavior management training, 

including techniques for de-escalating problem 

behavior. Instructor qualifications and training 

requirements shall include: 

(A) 

trainers shall demonstrate 

competence by scoring 

100% on testing in a training 

program aimed at 

preventing, reducing and 

eliminating the need for 

restrictive interventions; 


(B) 

competence by scoring 

100% on testing in a training 

program teaching the use of 

physical restraint; 


competence by scoring a 

passing grade on testing in 

an instructor training 

program; 

(C) the training shall be 

competency-based, and shall 

include measurable learning 

(D) 

(E) 

objectives, measurable 

testing (written and by 

observation of behavior) on 

those objectives and 

measurable methods to 

determine passing or failing 

the course; 

the content of the instructor 

training shall be approved by 

the Division of Mental 

Health, Developmental 

Disabilities and Substance 

Abuse Services and shall 

include, presentation of 

understanding the adult 

learner, methods of teaching 

content of the course, 

evaluation of trainee 

performance 

and 

documentation procedures; 

trainers shall be retrained at 

least annually and 

demonstrate competence in 

the use of physical restraint; 

(F) trainers shall be currently 

trained in CPR; 

(G) trainers shall have coached 

experience in teaching the 

use of restrictive 

interventions at least two 

times with a positive review 

by the coach, trainers shall 

teach a program on the use 

of physical restraints at least 

once annually; and 

(H) trainers shall complete a 

refresher instructor training at least 

every two years. 

(5) complete an annual review of the discipline 

and behavior management policies and 

techniques to verify that the physical restraint 

holds being utilized are being applied properly 

and safely. This review shall be documented 

and submitted to the licensing authority as part 

of the biennial licensing renewal application; 

and 


831


(6) maintain reports of physical restraint holds in a 

manner consistent with the agency's risk 

management policies (clinical decisions and 

activities undertaken to identify, evaluate and 

reduce the risk of injury to clients, staff and 

visitors and reduce the risk of loss to the 

agency) and make them available to the 

licensing authority upon request. 


Eff. July 1, 1999; 


Temporary Amendment Eff. May 15, 2000; 

Amended Eff. October 1, 2008; April 19, 2001. 

10A NCAC 70I .0614 CRITICAL INCIDENTS AND 

CRITICAL INCIDENT REPORTS 


and procedures for handling and reporting critical incidents. 

(b) Critical incident reports shall be submitted to the licensing 

authority by the executive director or designee on a form 

developed by the licensing authority within 72 hours of the 

critical incident. Critical incidents involving a child who is a 

resident of a residential child-care facility include the following: 

(1) a death of a child; 


(3) admission to a hospital; 


(5) runaway lasting more than 24 hours; 


or federal laws; and 

(7) reports of physical restraint holds. 

(c) Documentation of critical incidents shall include: 

(1) name of child or children involved; 






the report; 

(7) name of child's parents, guardian or legal 

custodian notified and date and time of 

notification; and 



(d) When there is a death of a child who is a resident of a 

residential child-care facility, the executive director or his or her 

designee shall notify the parents, guardian or legal custodian and 

the licensing authority within 72 hours. 

(e) The residential child-care facility shall have and follow 

policies and procedures for handling any suspected incidents of 

abuse or neglect of children involving staff, subcontractors, 

volunteers or interns. The policies and procedures shall include: 

(1) a provision for reporting any suspicions of 


department of social services for an 

investigative assessment in accordance with 

G.S. 7B-301; 


incident of abuse or neglect and for promptly 

reporting it to the executive director or 

governing body; 

(3) a provision for notifying the parents, guardian 

or legal custodian; 



assessment.; 













assessment. 

(f) Critical incident reports shall be maintained in a manner 

consistent with the agency's risk management policies and shall 

be made available to the licensing authority upon request. 




10A NCAC 70I .0615 SEARCHES 


and procedures on conducting searches of children's rooms and 

possessions which shall be discussed with each child, their 

parents, guardian or legal custodian prior to or upon admission. 



conducted; 

(2) personnel authorized to conduct searches; 

(3) provision for documenting searches and 

informing supervisory personnel of searches; 

and 


seized as a result of searches. 





APPROVAL 


RENOVATION 


CODES 





REQUIREMENTS FOR 

CONSTRUCTION AND 

APPLICABLE BUILDING 

FIRE AND BUILDING SAFETY 

GENERAL SANITATION 

BATHING AND TOILET AREAS 

SLEEPING AREAS 


832


10A NCAC 70I .0708 LIVING/ACTIVITY AREAS 

10A NCAC 70I .0709 DINING AREAS 

10A NCAC 70I .0710 HEAT, LIGHT AND 

VENTILATION 

10A NCAC 70I .0711 EXTERIOR SPACE 

10A NCAC 70I .0712 INSPECTIONS 

10A NCAC 70I .0713 VEHICLES USED FOR 

TRANSPORTATION OF CHILDREN 


154; 143B-155; 143B-156; 






STAFFING REQUIREMENTS 

TRAINING REQUIREMENTS 

History Note: Authority G.S. 143B-153; 

Eff. September 1, 2007; 


10A NCAC 70I .0901 APPLICATION OF PHYSICAL 

PLANT REQUIREMENTS 

(a) New construction and existing buildings proposed for use as 

a residential child-care facility shall comply with the 

requirements of this Section. 

(b) Except where otherwise specified, existing licensed facilities 

or portions of existing licensed facilities shall meet licensure and 

code requirements in effect at the time of construction, initial 

licensure, change in service, change in resident capacity or 

evacuation capability of the residents, addition, renovation or 

alteration. 

(c) New additions, alterations, modifications and repairs made 

to the building shall meet the requirements of this Section. 

(d) A residential child-care facility shall not have two different 

types of occupancies, as defined in the State Building Code, in 

the same building. 

(e) Rules contained in this Section are the Physical Plant 

requirements and do not prohibit buildings, systems or 

operational conditions that exceed these requirements. 

(f) Equivalency: Alternate methods, procedures, design criteria 

and functional variations from the physical plant requirements 

shall be approved by the Division of Health Service Regulation 

when the facility can demonstrate to the Division of Health 

Service Regulation's satisfaction, that the intent of the physical 

plant requirements are met and the variation does not reduce the 

safety or operational effectiveness of the facility. 

(g) The residential child-care facility must comply with all 

applicable local, state and federal regulations. 



10A NCAC 70I .0902 DESIGN AND CONSTRUCTION 

(a) Any building licensed for the first time as a residential childcare 

facility shall meet the applicable requirements of the North 

Carolina State Building Code. All new construction, additions 

and renovations to existing buildings shall meet the requirements 

of the North Carolina State Building Code for One and Two 

Family Dwellings, Licensed Residential-Care Facilities or 

Institutional Occupancy as determined by the Division of Health 

Service Regulation based on the number and age of the licensed 

children residents and any other dependents of the live-in staff. 

The North Carolina State Building Code, which is incorporated 

by reference, including all subsequent amendments can be 

purchased for one 

hundred six dollars and twenty-five cents ($106.25) at the 

following web site: 

(http://www.ncdoi.com/OSFM/Engineering/CodeServices/engin 

eering_codeservices_sales.asp) or calling 919-681-6550. 

(b) Mobile homes, whether mobile or permanently situated, 

shall not be used for residential child-care facilities. 

(c) Each facility shall be planned, constructed, equipped and 

maintained to provide the services offered in the facility. 

(d) Any existing building converted from another use to a 

residential child-care facility shall meet all the requirements of a 

new facility. 

(e) Any existing licensed residential child-care facility when the 

license is terminated for more than 60 days shall meet all 

requirements of a new facility prior to being relicensed. 

(f) Any existing licensed residential child-care facility that is 

closed or vacant for more than one year shall meet all 


(g) Any existing licensed residential child-care facility that 

plans to have new construction, remodeling or physical changes 

done to the facility shall have drawings submitted by the owner 

or his appointed representative to the Division of Health Service 

Regulation, Construction Section for review and approval prior 

to commencement of the work. 

(h) The applicant for a resident child-care facility shall consult 

the local code enforcement official for information on required 

permits and building code requirements before starting any 

construction or renovations. 

(i) If the building is two stories in height and is classified as a 

Residential Occupancy, it shall meet the following requirements: 

(1) Children less than six years old shall not be 

housed on any floor other than the level of exit 

discharge with adult supervision. 

(2) A complete fire alarm system with pull 

stations on each floor and sounding devices 

which are audible throughout the building 

shall be provided. The fire alarm system shall 

be able to transmit an automatic signal to the 

local emergency fire department dispatch 

center, either directly or through a central 

station monitoring company connection. 

(j) The basement and the attic shall not to be used for storage or 

sleeping. 

(k) The ceiling shall be at least seven and one-half feet from the 

floor. 

(l) All windows shall be maintained operable. 

(m) The sanitation, water supply, sewage disposal and dietary 

facilities shall comply with the rules of the North Carolina 

Commission for Public Health, which are incorporated by 

reference, including all subsequent amendments. The "Rules 

Governing the Sanitation of Hospitals, Nursing Homes, Adult 


833


Care Homes and Other Institutions", 15A NCAC 18A .1300 and 

the "Rules Governing Sanitation of Residential Care Facilities" 

15A NCAC 18A .1600 are available for inspection at the 

Department of Environment and Natural Resources, Division of 

Environmental Health, 2728 Capital Boulevard, Raleigh, North 

Carolina. Copies may be obtained from Environmental Health 

Services Section, 1632 Mail Service Center, Raleigh, North 

Carolina 27699-1632 at no cost. 

(n) The residential child-care facility shall request and obtain 

current inspections from the local sanitarian and the local fire 

inspector. Reports of such inspections shall be maintained in the 

facility and available for review and shall be submitted to the 

licensing authority with the licensure renewal application. 



10A NCAC 70I .0903 LOCATION 

(a) A residential child-care facility shall be in a location 

approved by local zoning boards. 

(b) The facility shall be located so that hazards to the residents 

are minimized. 

(c) The site of the facility shall: 

(1) be accessible by streets, roads and highways 

and be maintained for motor vehicles and 

emergency vehicle access; 

(2) be accessible to fire fighting and other 

emergency services; 

(3) have a water supply, sewage disposal system, 

garbage disposal system and trash disposal 

system approved by the local health 

department having jurisdiction; 

(4) meet all local ordinances; and 

(5) be free from exposure to pollutants known to 

the applicant or licensee. 



10A NCAC 70I .0904 LIVING ARRANGEMENT 

A residential child-care facility shall provide living 

arrangements to meet the individual needs of the residents, the 

live-in staff and other live-in persons. There shall be a 

designated room for residents to talk privately with staff and to 

receive visitors. 



10A NCAC 70I .0905 LIVING/ACTIVITY AREAS 

(a) Residential child-care facilities shall have a living room area 

of a minimum of 200 square feet for a capacity of six or less and 

15 square feet per each additional resident. 

(b) All living rooms shall have operable windows to meet the 

North Carolina State Building Code and be lighted to provide 30 

foot candles of light at floor level. 

(c) The living and activity areas shall be accessible from an 

outside entrance without going through sleeping, food services 

or food preparation areas. 



10A NCAC 70I .0906 DINING AREAS 

(a) Residential child-care facilities shall have a minimum dining 

area of 120 square feet for a capacity of six or less and 14 square 

feet for each additional resident (including children of live-instaff). 

(b) When the dining area is used in combination with a kitchen, 

an area five feet wide shall be allowed as work space in front of 

the kitchen work areas and shall not be included in the required 

square footage. 

(c) Each dining room shall be provided with operable windows 

and be lighted to provide 30 foot candles of light at the floor 

level. 



10A NCAC 70I .0907 KITCHEN 

(a) The kitchen in a residential child-care facility shall be large 

enough to provide for the preparation and preservation of food 

and the washing of dishes. 

(b) The kitchen floor shall have a non-slippery, water-resistant 

covering. 

(c) The kitchen shall be approved by the local sanitarian for the 

total number of children as well as any live-in staff and their 

dependents. 



10A NCAC 70I .0908 LAUNDRY ROOM 

Laundry facilities shall be provided. The laundry equipment 

shall be located out of the living, dining and bedroom areas. 



10A NCAC 70I .0909 SLEEPING AREAS 

(a) Bedrooms in existing facilities licensed before October 31, 

1977 shall provide a minimum of 60 square feet of floor space 

for each child in multi-occupancy bedrooms and a minimum of 

80 square feet of floor space in single-occupancy bedrooms. 

Floor area does not include closets or wardrobes. 

(b) Bedrooms in facilities licensed or developed after October 

31, 1977 shall provide a minimum of 80 square feet of floor 

space for each child in multi-occupancy bedrooms and a 

minimum of 100 square feet of floor space in single-occupancy 

bedrooms. Floor area does not include closets or wardrobes. 

(c) There shall be bedrooms sufficient in number and size to 

meet the individual needs of residential child-care facility 

residents, the live-in staff and their dependents. 

(d) Only rooms authorized by the Division of Health Service 

Regulation as bedrooms by plan review or field inspection shall 

be used for bedrooms. 

(e) The total number of residents assigned to a bedroom shall 

not exceed the number authorized by the Division of Health 

Service Regulation by plan review or field inspection for that 

particular bedroom. 


834


(f) A room where access is through a bathroom, kitchen or other 

bedroom shall not be approved for a resident's bedroom. 

(g) No child shall share a bedroom with a live-in staff member 

or children of staff. 

(h) No bedroom shall house more than four children. 

(i) Except for siblings, children of different sexes shall not share 

a bedroom. 

(j) Each child shall have a bed of his or her own. 

(k) Bunk beds shall be limited to no more than one bed above 

the other bed with at least three feet vertical clearance between 

the lower and upper beds. Bunk beds shall have guardrails on 

both sides of the top bunk. All spaces between the guardrails 

and bed frame and in the head and foot boards on the top bunk 

shall be less than 3 ½ inches. Bunk beds shall be provided with 

secured ladders. 

(l) Individual beds shall be at least three feet apart at the head, 

foot and sides; bunk beds shall be at least five feet apart, 

horizontally, at the head, foot and sides. 

(m) Each bed shall be provided with a mattress in good repair. 

(n) No day-bed, convertible sofa or other bedding of a 

temporary nature shall be used as a bed. 

(o) Bedrooms shall be provided with a minimum of 48 cubic 

feet of closet or wardrobe space per child and four cubic feet of 

drawer space per child. 

(p) Each bedroom shall be provided with a window that meets 

the North Carolina State Building Code for emergency egress. 

These windows shall be openable without the use of keys or 

tools. 



10A NCAC 70I .0910 BATHING AND TOILET AREAS 

(a) Facilities licensed for the first time after the effective date of 

Subchapters 70I and 70J shall have one full bathroom for each 

five or fewer persons including live-in staff and family. For 

children under five years old a tub shall be provided. Live-in 

staff and their dependents shall have a separate bathroom from 

children in care. 

(b) The bathrooms shall be designed to provide privacy. A 

bathroom with two or more water closets (commodes) shall have 

privacy partitions for each water closet. Each tub or shower 

shall have privacy partitions or curtains. 

(c) Bathrooms shall be located as conveniently as possible to the 

children's bedrooms. 

(d) The entrance to a bathroom shall not be through a kitchen, 

another resident's bedroom or bathroom. 

(e) The bathrooms shall be lighted to provide 30 foot candles of 

light at the floor level and have mechanical ventilation at the rate 

of two cubic feet per minute for each square foot of floor area. 

These vents shall be vented directly to the outdoors. 

(f) The bathroom floor shall have a non-slippery water-resistant 

covering. 



10A NCAC 70I .0911 CORRIDORS 

(a) Corridors shall be a minimum clear width of three feet. 

(b) Corridors shall be lighted with night lights providing one 

foot-candle of light at the floor. 

(c) Corridors shall be free of all equipment and other 

obstructions. 



10A NCAC 70I .0912 OUTSIDE ENTRANCES AND 

EXITS 

(a) In residential child-care facilities, all floor levels shall have 

at least two exits. If there are only two, the exit or exit access 

doors shall be located and constructed to minimize the 

possibility that both may be blocked by any one fire or other 

emergency condition. 

(b) At least one entrance and exit door shall be a minimum 

width of three feet and another shall be a minimum width of two 

feet and eight inches. 

(c) If the residential child-care facility has any child that 

requires physical assistance with evacuation, the facility shall 

have at least one principal outside entrance and exit for the 

residents' use which shall be at grade level or accessible by ramp 

with a one inch rise for each 12 inches of length of the ramp. 

For the purposes of this Rule, a principal outside entrance and 

exit is one that is most often used by residents for vehicular 

access. 

(d) All exits and room door locks and latches shall be easily 

operable from the inside at all times without keys. 

(e) All entrances and exits shall be free of all obstructions or 

impediments to allow for full instant use in case of fire or other 

emergency. 

(f) All steps, porches, stoops and ramps shall be provided with 

handrails and guardrails. 

(g) Outdoor stairways and ramps shall be illuminated by no less 

than five foot candles of light at grade level. 



10A NCAC 70I .0913 FLOORS 

(a) All floors shall be of smooth, non-skid material and 

constructed to be easily cleanable. 

(b) All floors shall be kept in good repair. 



10A NCAC 70I .0914 HOUSEKEEPING AND 

FURNISHINGS 

(a) Each residential child-care facility shall: 

(1) have walls, ceilings and floors or floor 

coverings kept clean and in good repair; 

(2) have no chronic unpleasant odors; 

(3) have furniture clean and in good repair; 

(4) be maintained in an uncluttered, clean and 

orderly manner, free of all obstructions and 

hazards; 

(5) have a supply of bath soap, clean towels, 

washcloths, sheets, pillow cases, blankets and 


835


additional coverings adequate for resident use 

on hand at all times; 

(6) have television and radio, each in working 

order; 

(7) have curtains, draperies or blinds at windows 

in resident use areas to provide for resident 

privacy; 

(8) have recreational equipment, supplies for 

games, books, magazines and a current 

newspaper available for residents; and 

(9) have at least one non-pay telephone available 

at all times that does not depend on electricity 

or cellular service to operate. Emergency 

telephone numbers shall be posted at the 

telephone. 

(b) Each bedroom shall have the following furnishings in good 

repair and clean for each child: 

(1) a bed equipped with box springs and mattress 

or solid link springs and no-sag innerspring or 

foam mattress. Each bed shall include: 

(A) at least one pillow with clean pillow 

case; 

(B) clean top and bottom sheets on the 

bed, with bed changed as often as 

necessary but at least once a week; 

and 

(C) 

clean bedspread and other clean 

coverings as needed. 

(2) a bedside type table and lamp or overhead 

light, that provides a minimum of 30 footcandle 

power of illumination for reading. 

(3) a chest of drawers or bureau when not 

provided as built-ins, or a double chest of 

drawers or double dresser for two residents. 

(4) a wall or dresser mirror that can be used by 

each resident. 

(5) a minimum of one comfortable chair. 

(c) The living room shall have functional living room 

furnishings for the comfort of residents, with coverings that are 

easily cleanable. 

(d) The dining room shall include: 

(1) tables and chairs to seat all residents eating in 

the dining room; and 

(2) high chairs and booster seats for infants and 

children who need them. 

(e) This Rule shall apply to new and existing facilities. 



10A NCAC 70I .0915 FIRE SAFETY AND DISASTER 

PLAN 

(a) Care shall be exercised by the staff of a residential child-care 

facility in allowing children to use matches or to handle 

combustible materials. 

(b) A written fire evacuation plan (including a diagrammed 

drawing) that has the approval of the local code enforcement 

official shall be prepared with a minimum of 1/8 inch high 

letters and posted in a central location on each floor of the 

building. 

(c) A written disaster plan shall be prepared and updated at least 

annually and shall be maintained in the facility. 

(d) Fire drills shall be held monthly at different times during the 

day and quarterly at night for both children and staff. A 

residential child-care facility shall document fire drills including 

the date and time of the rehearsals, staff members present and a 

short description of what the rehearsal involved. 

(e) The executive director of a residential child-care facility, or 

his/her designee, shall instruct staff and children residing in a 

residential child-care facility and shall train the staff and 

children in the proper reporting of a fire and the ways of 

escaping from a fire. New residents shall be instructed within 

the first day upon admittance. 

(f) Fire extinguishers shall be provided in a residential childcare 

facility that meets the following minimum requirements: 

(1) one five pound or larger (net charge) "A-B-C" 

type centrally located. 

(2) one-five pound or larger "A-B-C" or "CO/2" 

type located in the kitchen. 

(3) any other location as determined by the code 

enforcement official. 

(g) When there are seven or more children residing in the 

residential child-care facility, and it is classified as a residential 

occupancy by the Division of Health Service Regulation, each 

floor level shall be separated from other floors in accordance 

with the requirements of the applicable building code, and by not 

less than walls and a solid core, self-closing, 20 minute fire-rated 

door. 

(h) Fire exits and all exit-access paths including doors, hallways 

and stairs shall be well lighted and kept clear of obstructions. 

(i) The building shall be provided with the smoke detectors as 

required by the North Carolina State Building Code in effect at 

the time of initial licensing or renovations. 

(j) Heat detectors shall be located in the attic and connected to a 

dedicated sounding device. This Paragraph shall not apply to 

existing licensed facilities that have had no additions or 

renovations. 

(k) Smoking is not permitted in a residential child-care facility. 

(l) Any fire safety requirements required by city ordinances or 

county building inspectors shall be met. 

(m) This Rule shall apply to new and existing licensed facilities 

except where otherwise specified. 



10A NCAC 70I .0916 BUILDING SERVICE 

EQUIPMENT 

(a) The building and all fire safety, electrical, mechanical and 

plumbing equipment in a residential child-care facility shall be 

maintained in a safe and operating condition. 

(b) There shall be a central heating system sufficient to maintain 

75 degrees F (24 degrees C) under winter design conditions. 

Built-in electric heaters, if used, shall be installed or protected to 

avoid hazards to the children and room furnishings. Unvented 

fuel burning room heaters and portable electric heaters are 

prohibited. 


836


(c) Air conditioning or at least one fan per resident bedroom, 

living and dining areas shall be provided when the temperature 

in the facility exceeds 80 degrees F (26.7 degrees C). 

(d) The hot water tank shall provide hot water to the kitchen, 

bathrooms and laundry. The hot water temperature at all fixtures 

used by residents shall be maintained at a minimum of 100 

degrees F (38 degrees C) and shall not exceed 116 degrees F 

(46.7 degrees C). 

(e) All resident areas shall be well lighted for the safety and 

comfort of the residents. The minimum lighting required is: 

(1) 30 foot-candle of light for reading; and 

(2) 10 foot-candle of light for general lighting. 

(f) Fireplaces, fireplace inserts and wood stoves shall be 

designed or installed to avoid a burn hazard to children. Solid 

fuel burning fireplace inserts and wood stoves shall be labeled 

and approved by a third party testing agency accredited by the 

North Carolina Building Code Council for solid fuel heating 

equipment. 

(g) Gas logs may be installed if they are of the vented type, 

installed according to the manufacturers' installation instructions, 

approved through the local building department and protected by 

a guard or screen to prevent children and furnishings from burns. 

(h) This Rule shall apply to new and existing licensed facilities. 



10A NCAC 70I .0917 OUTSIDE PREMISES 

(a) Outdoor recreational space shall be provided and maintained 

in a clean and safe condition. 

(b) The grounds and all structures on the grounds of the 

residential child-care facility shall be maintained to minimize 

hazards to the health or safety of the children. 

(c) Play and recreational equipment shall be located, installed 

and maintained to ensure the safety of children. 

(d) Garbage and rubbish that is stored outside shall be stored 

securely in covered containers and shall be removed on a regular 

basis. 

(e) Trash collection receptacles and incinerators shall be kept 

separate from play areas and must be located to avoid being a 

nuisance to neighbors. 

(f) Fences shall be kept in good repair and shall not prevent 

adult staff from exiting or entering freely or be hazardous. 

(g) Areas determined by the Division of Health Service 

Regulation to be unsafe, including steep grades, cliffs, open pits, 

swimming pools, high voltage boosters, and high-speed roads, 

shall be fenced off or have natural barriers to protect children. 



10A NCAC 70I .0918 VEHICLES USED FOR 

TRANSPORTATION OF CHILDREN 

(a) Vehicle Requirements for Transporting Children. 

(1) Vehicles shall comply with all motor vehicle 

laws and regulations for the State of North 

Carolina. 

(2) Motor vehicles shall be maintained in a safe 

operating condition, shall be properly 

registered, and shall have current, valid 

inspection stickers for the State of North 

Carolina. 

(3) A first-aid kit shall be in all motor vehicles. 

(4) The bed of an open body or a stake bed vehicle 

shall not be used for transporting children. 

(b) Driver Requirements. The name of and a copy of a valid 

driver's license for each person transporting children shall be 

maintained in a separate file at the facility. 

(c) Safety Practices for Transporting Children. 

(1) The interior of each vehicle shall be 

maintained in a clean and safe condition with 

clear passage to operable doors. 

(2) The driver shall assure that all passengers 

follow North Carolina laws regarding seat belt 

usage and shall adhere to child passenger 

restraint laws when transporting children. 

(3) The driver shall not transport more persons, 

including children and adults, than allowed by 

the design capacity of the vehicle. 

(4) Children shall have at least one 30 minute rest 

stop for every four hours of continuous travel. 

(5) Children shall not be transported for more than 

10 hours in any 24-hour period. 

(d) Transportation Records. Insurance verification and the 

vehicle identification certificate shall be kept in the vehicle in 

accordance with State law. Emergency medical information 

shall be kept in the vehicle for each child occupying the vehicle. 

(e) Insurance. If a residential child-care facility's transportation 

services are provided by a private individual, a firm under 

contract, or by another arrangement, the facility shall maintain a 

file copy of the individual's or firm's insurance coverage. 

(f) Emergency Transportation. A residential child-care facility 

shall have a plan for transporting children when emergency 

situations arise that includes: 

(1) the need for immediate medical care; 

(2) picking a child up at school before the end of 

the school day; and 

(3) transporting the child during adverse weather 

conditions. 



10A NCAC 70J .0101 APPLICABILITY 

In addition to the rules in 10A NCAC 70I .0100 through .0501, 

the rules in this Section apply to all persons licensed or seeking 

licensure for a children's foster care camp as defined in 10A 

NCAC 70I .0201. 


Eff. July 1, 1999 (See S. L. 1999, c.237, s.1130); 


10A NCAC 70J .0103 PERSONNEL 

(a) Direct service personnel and supervisory personnel, in 

addition to supervision and training specified in 10A NCAC 70I 

.0405(f)(2)(B), (C) and (4)(C), shall be provided supervision and 

training in the following areas: 


837


(1) rescue evacuation, updated every three years; 

and 

(2) basic emergency water safety course, with 

certification documented in the camp files and 

updated every three years. 

(b) There shall be a minimum of two counselors for each 10 

children participating in activities involving water, including 

swimming, boating, canoeing, and rafting. 


Eff. July 1, 1999 (See S. L. 1999, c.237, s.11.30). 


10A NCAC 70J .0201 APPLICABILITY 

In addition to the rules in 10A NCAC 70I .0100, .0200, .0300, 

.0400, .0501, .0600 and .0900, the rules in this Section apply to 

all persons licensed or seeking licensure for an emergency 

shelter care program as defined in 10A NCAC 70I .0201. 




10A NCAC 70J .0202 ADMISSION PROCEDURES 

(a) At the time of admission, a residential child care facility 

shall obtain the following information: 

(1) the name, sex, race, birth date and birth place 

of the child; 

(2) when available, the parents' names, addresses, 

telephone numbers, birth dates, races, religion 

and marital status; 

(3) when available, the names, addresses and 

telephone numbers of siblings and other 

relatives; a record of the child's prior 

placements with names of care givers, 

addresses and dates of care; and 

(4) if the child has had prior placements, the 

names of care-givers, addresses and dates of 

prior placements. 

(b) Within 72 hours of admission, the facility shall obtain the 

following: 

(1) a written agreement for admission from the 


(2) consent for release of information; 

(3) consent for emergency medical treatment; and 

(4) consent for family time/visitation. 

(c) Within two weeks of admission, the facility shall obtain the 

following: 

(1) a medical examination report from a licensed 

medical provider which includes a signed 

statement by the licensed medical provider 

specifying the child's medical condition and 

medications prescribed and indicating the 

presence of any communicable disease which 

may pose a risk of transmission in the facility; 

and 

(2) a social summary from the agency placing the 

child which includes background information 

on the child, his/her family, his/her presenting 

problems, and current circumstances. 


Eff. July 1, 1999 (See S. L. 1999, c.237, s.11.30); 


10A NCAC 70J .0203 ADMISSION CRITERIA 

A residential child care facility shall enter into and obtain a 

written agreement from the child's parents or guardian, or legal 

custodian within 72 hours of the child's admission which 

contains the following: 

(1) a statement documenting the parent's, 

guardian's or legal custodian's authority to 

place the child and designating the parent's, 

guardian's or legal custodian's consent for the 

child's admission; 



and the child's parents or guardian; 

(3) information which sets forth the role and 

responsibilities to be performed by the staff in 

the facility during the child's stay in the 

program; 

(4) information that specifies the expectations of 

the parents, guardian or legal custodian during 

the child's stay in the program; 

(5) specification of the anticipated length of the 

child's stay; and 

(6) specification of the projected goals for the 

child's parents or guardian during the child's 

stay in the program. 




10A NCAC 70J .0204 RECORDKEEPING 

Client case record. An individual case record shall be 

maintained on each child that contains the following: 

(1) written consent for placement; 

(2) documentation of placement authority; 



and the child's family; 

(4) consents for release of information, emergency 

medical treatment, family time/visitation; 

(5) a medical examination report completed 

within two weeks after admission unless the 

child's health status indicates the completion of 

a medical examination report sooner and 

copies of subsequent medical examination 

reports; 

(6) medical records and immunization records; 

(7) intake study and related documents; 

(8) out-of-home family services agreement and 

biweekly reviews; 

(9) family contact and visitation plan, including 

type, duration, location both on-site and off- 


838


site and frequency, as well as any rationale for 

restrictions on family involvement. The 

facility shall maintain documentation of all 

family time; 

(10) birth certificate or other documentation that 

verifies the child's birth; 

(11) court orders; 

(12) documentation of medical insurance; 

(13) consents for time-limited, audio-visual 

recording signed by both the child and parent 

or guardian , or legal custodian; 

(14) progress notes; and 

(15) discharge summary including date of 

discharge, time of discharge and the name, 

address, telephone number, and relationship of 

the person or agency to whom the child was 

discharged, a summary of services provided 

during care, needs which remain to be met and 

plans for the services needed to meet these 

goals. 


Eff. July 1, 1999 (See S. L. 1999, c.237, s. 11.30); 


10A NCAC 70J .0205 SERVICE PLANNING 

Within one week of admission, an out-of-home family services 

agreement shall be developed and reviewed every other week, 

thereafter, by the shelter home staff, parents, guardian, or legal 

custodian of the child. The out-of-home family services 

agreement shall include: 

(1) the expectation and goals to be reached by the 

child while in care; 

(2) the tasks and activities of the shelter home 

staff to meet the needs of the child while in 

care; 

(3) the tasks and activities of the parents, guardian 

or legal custodian to meet the needs of the 

child while in care; 

(4) the projected discharge plan; 

(5) the projected length of stay; and 

(6) the signatures of the shelter home staff, the 

child's parents, guardian or legal custodian and 

child, if 12 years of age and older. 


Eff. July 1, 1999 (See S. L. 1999, c.237, s. 11.30); 


10A NCAC 70J .0206 DISCHARGE SERVICES 

(a) A residential child-care facility shall establish a policy 

which specifies that no child shall remain in care longer than 90 

days. An exception may be made to this policy if the facility has 

a policy which specifies the length of time and the circumstances 

by which a child will remain in shelter care longer than 90 days. 

(b) Prior to discharge, the staff of the residential child-care 

facility shall develop a plan with the child to determine if 

follow-up services will be provided, the type of services to be 

provided and the timeframe for conducting these services. 




10A NCAC 70K .0101 DEFINITION 

For the purposes of the rules in this Subchapter, "residential 

maternity home" means a child-caring institution which provides 

continuing full time care for adolescent women during 

pregnancy and after delivery when delivery takes place in a 

licensed hospital, and a facility for adult women during 

pregnancy and after delivery when delivery takes place in a 

licensed hospital. The rules in this Subchapter apply to persons 

intending to organize, develop, or operate a residential maternity 

home. Residential maternity homes shall not hold dual licensure 

under G.S. 131D and G.S. 122C. The North Carolina 

Department of Health and Human Services, Division of Social 

Services, is the licensing authority for residential maternity 

homes. 

History Note: Authority G.S. 131D-1; 143B-153; 


Amended Eff. October 1, 2008; June 1, 1990. 

10A NCAC 70K .0102 ORGANIZATION AND 


Persons licensed or seeking licensure to provide residential 

maternity home care shall comply with requirements as specified 

in 10A NCAC 70F and 10A NCAC 70K. 




10A NCAC 70K .0103 LICENSING ACTIONS 

(a) License. The Department of Health and Human Services, 

Division of Social Services, as licensing authority shall issue a 

license when it determines that the residential maternity home is 

in compliance with rules in Subchapters 70F and 70K of this 

Chapter. 

(b) Changes in any information on the license. 

(1) The licensing authority shall change a license 

during the period of time it is in effect if the 

change is in compliance with rules in 

Subchapters 70F and 70K of this Chapter. 

(2) A residential maternity home shall notify the 

licensing authority in writing of its request for 

a change in license, including information that 

is necessary to assure the change is in 

compliance with the rules in Subchapters 70F 

and 70K of this Chapter. 

(c) Termination. 

(1) When a residential maternity home voluntarily 

discontinues operations, either temporarily or 

permanently, the residential maternity home 

shall notify the licensing authority in writing 

of the date, reason and anticipated length of 

closing. 


839


(2) If a license is not renewed by the end of the 

licensure period, the licensing authority shall 

automatically terminate the license. 

(3) When the license of any existing residential 

maternity home is terminated for more than 60 

days, the home shall meet all requirements of a 

new facility prior to being relicensed. 

(4) Any existing licensed residential maternity 

home that is closed or vacant for more than 

one year shall meet all requirements of a new 

facility prior to being relicensed. 

(d) Adverse licensure action. 

(1) The licensing authority shall deny, suspend or 

revoke a license when a residential maternity 

home is not in compliance with the rules in 

Subchapters 70F and 70K of this Chapter 

unless the residential maternity home within 

10 working days from the date the maternity 

home initially received the deficiency report 

from the licensing authority submits a plan of 

correction. The plan of correction shall 

specify the following: 

(A) the measures that will be put in place 

to correct the deficiency; 

(B) the systems that will be put in place 

to prevent a re-occurrence of the 

deficiency; 

(C) the individual or individuals who will 

(D) 

monitor the corrective action; and 

the date the deficiency will be 

corrected which shall be no later than 

60 days from the date the routine 

monitoring was concluded. 

(2) The licensing authority shall notify a 

residential maternity home in writing of the 

decision to deny, suspend or revoke a license. 

(3) Appeal procedures specified in 10A NCAC 

70L .0301 shall be applicable for persons 

seeking an appeal to the licensing authority's 

decision to deny, suspend or revoke a license. 

(e) Licensure shall be denied when it is determined that an 

applicant meets any of the following conditions: 

(1) owns a facility or agency licensed under G.S. 

122C and that facility or agency incurred a 

penalty for a Type A or B violation under 

Article 3 of G.S. 122C; or 

(2) the Department of Health and Human Services 

has initiated revocation or summary 

suspension proceedings against any facility 

licensed pursuant to G.S. 122C, Article 2; G.S. 

131D, Articles 1 or 1A; or G.S. 110, Article 7 

that was previously held by the applicant and 

the applicant voluntarily relinquished the 

license; 

(3) there is a pending appeal of a denial, 

revocation or summary suspension of any 

facility licensed pursuant to G.S. 122C, Article 

2; G.S. 131D, Articles 1 or 1A; or G.S. 110, 

Article 7 that is owned by the applicant; 

(4) the applicant has an individual as part of their 

governing body or management who 

previously held a license that was revoked or 

summarily suspended under G.S. 122C, 

Article 2; G.S. 131D, Articles 1 or 1A; and 

G.S. 110, Article 7 and the rules adopted under 

these laws; 

(5) the applicant is an individual who has a 

finding or pending investigation by the Health 

Care Personnel Registry in accordance with 

G.S. 131E-256; or 


finding on the Responsible Individual's List as 

described in 10A NCAC 70A .0102. 



10A NCAC 70K .0201 PERSONNEL 

(a) Staff Qualifications and Functions. 

(1) Executive Director. There shall be an 

executive director employed for the general 

management and supervision of the maternity 

home. The executive director shall have a 



Education Directory, which can be obtained by 

calling Higher Education Publications, Inc. at 

1-888-349-7715. The executive director shall 

have the following responsibilities: 

(A) direct the maternity home's program 

of care and services in accordance 

with policies established by the 

governing board and within license 

standards; 

(B) recruit, employ, supervise and 

discharge staff; 

(C) assure a training program for staff; 

(D) prepare the annual budget, supervise 

expenditures, and operate within the 

budget established; 

(E) establish and maintain good working 

relationships with other human 

service agencies and represent the 

agency in the community; and 

(F) delegate authority to a staff member 

meeting the qualifications described 

in Subparagraph (a)(1) of this Rule, 

during his or her absence. 

(2) Professional Services Staff. The maternity 

home shall have available professional 

services personnel to assure appropriate 

services are provided for each resident in 

accordance with her case plan or out-of-home 


(3) Social Work Supervisor. If the maternity 

home employs staff to provide social work 

services, it shall employ a person who is 

responsible for supervising, evaluating, and 


840


monitoring the work and progress of the social 

work staff. The social work supervisor shall 

have a bachelor's degree from a college or 

university listed in the most current edition of 

the Higher Education Directory. 

(4) Social Worker. If the maternity home employs 

social workers to be responsible for intake 

services, providing social work services to the 

residents and their families, coordinating the 

services and resources affecting the client and 

their families, the social worker shall have a 



Education Directory. 

(5) Direct Care Staff. All direct care staff hired 

shall have a high-school diploma or GED. 

(6) Direct Care Supervisory Staff. All direct care 

supervisory staff shall have a high-school 

diploma or GED. 

(7) Staff members of the maternity home may 

maintain dual employment or serve as 

volunteers with adoption agencies or crisis 

pregnancy centers as long as the maternity 

home does not provide services to the clients 

of the adoption agency or crisis pregnancy 

center. Staff members of the maternity home 

may serve on the board of directors of 

adoption agencies or crisis pregnancy centers 

as long as the adoption agency or crisis 

pregnancy center does not provide services to 

the clients of the maternity home. 

(b) Staffing Requirements. For maternity homes that employ 

staff as social workers and social work supervisors, there shall 

be at least one social worker assigned for every 15 residents. 

Supervision of social workers shall be assigned as follows: 

Supervisors Social Workers 

Required Employed 

0 0-4 

(executive 

director serves as 

social work 

supervisor) 

1 5 

2 6-10 

3 11-15 

There shall be one additional 

supervisor for every one to five 

additional social workers. 

(c) Direct Care Staff. Direct care staff shall be employed for 

direct care of maternity home residents (residents include 

mothers and infants). Effective July 1, 2009 there shall be at 

least one direct care staff member assigned for every eight 

residents during waking hours and one direct care staff member 

for every 12 residents during sleeping hours. Additional direct 

care staff or other personnel shall be available to assist with 

emergency situations or special needs of the residents. 

(d) Direct Care Supervisory Staff. Effective July 1, 2009 there 

shall be at least one direct care supervisor for every 15 direct 

care staff members. 

(e) Volunteers and Interns. If the maternity home uses 

volunteers or interns to work directly with residents, the 

requirements of 10A NCAC 70F .0207 apply. 

(f) Additional Personnel Requirements. In addition to those 

requirements specified in 10A NCAC 70F .0207, the following 

rules are applicable to maternity home programs: 

(1) Health Examinations. All direct care staff, 

food service staff and anyone serving in the 

capacity of direct care staff and food service 

staff shall have a medical examination 

completed by a physician, physician's 

assistant, or nurse practitioner, hereafter 

referred to as "licensed medical provider," 

within at least 12 months before beginning 

employment and biennially thereafter. The 

agency shall maintain documentation that all 

direct care staff and food service staff or 

anyone serving in the capacity of direct care 

staff and food service staff have had a TB skin 

test or chest x-ray prior to employment unless 

contraindicated by a licensed medical 

provider. A medical history form shall be 

completed by all direct care staff and food 

service staff. Examinations must include tests 

necessary to determine that the staff member is 

able to carry out assigned duties and does not 

have any communicable disease or condition 

which poses risk of transmission in the facility. 

A report of each examination t shall be made 

a part of the employee's personnel file. A 

medical examination report shall be completed 

on any adopted children or relative children of 

direct care staff residing in the maternity home 

within 12 months prior to the license date. 

The birth children of direct care staff who 

reside in the maternity home shall be tested for 

TB only if one or more of the parents tests 

positive for TB. There shall be documentation 

that adopted children or other relative children 

residing in the maternity home have had a TB 

skin test or chest x-ray prior to initial licensure 

unless contraindicated by a licensed medical 

provider. A medical examination and TB test, 

if required, shall be completed on any children 

or relative children of direct care staff who 

subsequently begin residing in the maternity 

home. Examinations shall include tests 

necessary to determine that the children or 

relative children of staff members who reside 

in the maternity home do not have any 

communicable diseases or conditions which 

poses risk of transmission in the facility. A 

medical history form shall be completed on 

any children or relative children of direct care 

staff who reside in the living unit. Medical 

examination reports and medical history forms 


841


of children of the residents residing the 

maternity home shall be maintained in the 

personnel file of their parent or relative. 

(2) Staff Development. The maternity home staff 

shall have a written staff development plan 

which provides staff training in the following 

areas: 

(A) medical, physical, and psychological 

aspects of pregnancy; 

(B) prenatal and postnatal care; 

(C) developmental needs of adolescents 

and young adults; 

(D) developmental needs of infants and 

children; 

(E) parenting preparation classes; 

(F) stages of growth in infants; 

(G) day-to-day care of infants; discipline; 

(H) education planning; 

(I) job seeking skills; 

(J) locating housing; 

(K) money management; 

(L) food management; 

(M) child care; 

(N) health education; 

(O) stress management; 

(P) life skills; 

(Q) decision making; 

(R) substance abuse; 

(S) pregnancy prevention; 

(T) counseling skills; 

(U) emergency medical care; and 

(V) nutrition and food preparation. 

Social workers, social work supervisors, direct care 

staff and direct care staff supervisors shall receive 24 

hours of continuing education annually. 




RRC Objection Eff. April 15, 1993 Due to Lack of Statutory 

Authority; 


10A NCAC 70K .0202 SERVICES 

(a) A maternity home shall have a written statement of purpose 

and objectives, services offered, eligibility requirements, 

application procedures, and procedures for implementing all 

services. This information shall be available to persons or 

agencies making inquiries. 

(b) Social Services. The maternity home shall provide 

admission, residential, and discharge services to applicants, 

residents in care, and their families or legal custodians, as 

follows: 

(1) Admission services shall include an 

assessment of the need for maternity home 

care, for specific services for the applicant's 

individual needs, and shall include information 

to determine if the maternity home's program 

of care and services can meet these needs. 

(2) When an applicant who lives out of state is 

being considered for admission and the 

applicant is under the age of eighteen years, 

the provisions of the North Carolina interstate 

placement laws (G.S. 7B-3800 et. seq.) shall 

be met. 

(3) Staff responsibility shall be established for 

decisions on admissions. 

(4) Applicants or legal custodians shall complete a 

written application before or upon admission. 

Written agreements shall be made concerning 

release of information, medical care, and fees 

for care and services. 

(5) An applicant accepted for care shall be 

referred to and have a working agreement with 

a licensed child-placing agency or county 

department of social services of the applicant's 

choice for planning and decision making in 

relation to her baby. No maternity home staff 

member shall directly or indirectly assume 

responsibility for placement of children for 

adoption. 

(6) Residential services throughout the period of 

care shall include counseling for each resident 

and her family. 

(7) Each resident shall have the opportunity to talk 

privately with staff, family members, friends 

and social workers from child-placing 

agencies or county departments of social 

services and to express grievance. 

(8) Each resident shall have assistance as 

requested in making the best use of her time in 

the maternity home, adjusting to the living 

situation, accessing all services needed, 

resolving personal and family problems, and 

planning for discharge. 

(9) Discharge services for residents shall include 

planning for living arrangements, employment 

or education, and for those residents planning 

to keep their babies, preparation for 

parenthood and support services for single 

parents. 

(c) Psychological and Psychiatric Services. Arrangements shall 

be made for a resident to have the services of a psychologist or a 

psychiatrist, if necessary, as well as for consultation for the staff 

providing care and services to the resident. 




10A NCAC 70K .0203 CASE RECORD 

A confidential case record shall be maintained for each resident 

which includes: 

(1) a completed application for admission and 

services with identifying information about the 

resident; 


842


(2) a summary of the referral source, background 

information about the resident, and an 

assessment of the services needed; 

(3) a complete medical and obstetrical history and 

examination before or within one week after 

admission to the home; 

(4) record of medical and dental services received; 

(5) authorization for medical care for minors; 

(6) authorization for receiving or sending 

information concerning the resident; 

(7) copy of financial agreements; 

(8) a copy of the agreement with the licensed child 

placing agency or county department of social 

services providing services to the resident; 

(9) case plan or out-of-home family services 

agreement; 

(10) visitation and contact plan including type, 

duration, location both on-site and off-site, and 

frequency, as well as any rationale for 

restrictions on family involvement; the facility 

shall maintain documentation of all family 

time; 

(11) date of admission to the maternity home and 

documentation of services provided including 

hospital care and delivery dates; 

(12) date, time and circumstances of discharge 

from the maternity home and the resident's 

plans for herself and baby; and in the case of 

minors the name, relationship and signature of 

the individual the resident was released to; 

(13) correspondence and contacts with other 

persons or agencies concerning the resident; 

and 

(14) signed acknowledgement of client rights. 




10A NCAC 70K .0204 PROGRAM OF CARE 

(a) The program of care shall be suited to the needs of 

adolescent and adult women experiencing an unplanned 

pregnancy. There shall be opportunity provided for private time, 

for family contacts, and for group fellowship. 

(b) The residents shall be free from duress to make their own 

decisions about releasing or keeping their babies. 

(c) The residents shall be provided confidentiality concerning 

their situations and protection from harm insofar as possible. 

(d) Educational opportunities shall be provided or arranged by 

the residential maternity home in accordance with the needs of 

individual residents and resources available in the community. 

For those residents who are required to attend school under the 

compulsory school attendance laws of North Carolina, the 

maternity home shall arrange for attendance in a public or a 

nonpublic school which is operated in accordance with the laws 

of North Carolina. If a school or educational program is 

maintained and operated by the maternity home which residents 

attend in lieu of attending public schools, the maternity home 

shall comply with the North Carolina General Statutes governing 

nonpublic schools. Opportunity shall be offered to residents 

who wish to participate in educational courses available in the 

community. 

(e) Health education including information about pregnancy, 

delivery, and family planning services shall be provided 

residents. Information about the care of infants shall be made 

available to the residents who want this information. 

(f) Recreational activities shall be provided which meet the 

needs of residents. Suitable space shall be provided at the 

maternity home for both indoor and outdoor activities. 

Participation in community activities shall be provided. 

(g) Work assignments in the maternity home shall be geared to 

the physical health and emotional well-being of the residents in 

care. Residents shall be given the opportunity to voluntarily seek 

paid employment when employment is in accordance with the 

recommendation of their licensed medical provider and other 

professional staff of the maternity home. No resident shall be 

required to work for the purpose of paying the maternity home 

for her care. 

(h) The maternity home shall define in writing and make 

available to applicants and residents those rules and regulations 

which the residents shall be expected to follow. These Rules 

and regulations shall respect the personal freedom of the 

residents. These Rules and regulations shall not infringe on the 

residents' rights to send and receive uncensored mail and for 

planned visits with their families and others. Visitors shall not 

be allowed to visit minors without prior consent of the parents or 

guardian, or legal custodian. 

(i) Nutritious, foods shall be provided in the variety and 

amounts necessary to meet the National Research Council's 

Recommended Daily Dietary Allowances (USDA Center for 

Nutrition Policy and Promotion, 1120 20 th Street, NW, Suite 

200N, Washington, DC 20036). Special diets shall be planned 

to meet the modified needs of individual residents as prescribed 

by a licensed medical provider. Menus shall be planned and 

written by, or in consultation with, a licensed 

dietician/nutritionist. Menus shall be planned and written at 

least one week in advance. Snacks shall be recorded on the 

regular menu. 

(j) Each resident shall be provided prenatal care and general 

health care by a licensed medical provider which includes: 

(1) a complete medical and obstetrical history and 

examination before or within one week after 

admission to the home; 

(2) periodic examinations during pregnancy as 

outlined by the licensed medical provider; 

(3) dental services as needed; and 

(4) medical services as needed. 

(k) Each resident shall be provided delivery care in a licensed 

hospital or any facility licensed as a place for delivery of babies. 

(l) The agency shall have written policies and procedures 

regarding staff administering medications to residents that shall 

be discussed with each resident and their parents or guardian, or 

legal custodians (if resident is a minor) prior to or upon 

placement. These policies and procedures shall address: 

(1) medication administration; 

(2) medication dispensing, 

(3) packaging, labeling, 

(4) storage and disposal; 


843


(5) review; 

(6) education and training; and 

(7) documentation, including medication orders, 

Medication Administration Record (MAR); 

orders and copies of lab tests; and, if 

applicable, administration errors and adverse 

drug reactions. The residential maternity 

home shall maintain a MAR for each resident 

that documents all medications administered. 

Upon discharge of a resident, the residential 

maternity home shall return prescription 

medications to the resident or person or 

agency legally authorized to remove the minor 

from residential maternity care. The 

residential maternity home shall provide oral 

or written education to the resident or person 

or agency legally authorized to remove the 

minor from residential maternity care 

regarding the medications. Unwanted, outdated, 

improperly labeled, damaged, 

adulterated or discontinued prescription 

medications shall be returned to a pharmacy 

for disposal. 

(m) When residents return to the maternity home, post delivery 

care shall be available to the residents in accordance with the 

recommendations of the resident's licensed medical provider and 

the professional staff of the maternity home. A resident shall not 

be required to remain in the maternity home after medical 

discharge. Referral to a licensed medical provider or medical 

clinic or community family planning resource shall be made if 

requested by the resident. 

(n) A resident and her infant may be considered for aftercare if 

the resident was in residential care prior to delivery. 

(o) The period of aftercare for the resident and her child shall 

not exceed 12 consecutive months, during which time a plan for 

independent living shall be developed with the resident and 

assistance provided in achieving the goal of the plan within the 

designated time frame. 

(p) Services provided for the plan of independent living shall 

include: 

(1) parenting preparation classes; 

(2) stages of growth in infants; 

(3) day-to-day care of infants; 

(4) discipline, education planning; 

(5) job seeking skills; 

(6) locating housing; 

(7) money management; 

(8) food management; 

(9) child-care; 

(10) health education; 

(11) stress management; 

(12) life skills; 

(13) decision making; 

(14) substance abuse; and 

(15) pregnancy prevention, as well as other services 

based on the individual needs of the resident. 

(q) A case record shall be maintained at the maternity home for 

each resident which includes documents concerning all social 

work, counseling, medical, psychological, and dental services, as 

well as any other services provided to each resident. 



Amended Eff. October 1, 2008; June 1, 1990. 

10A NCAC 70K .0205 

PHYSICAL FACILITIES 





10A NCAC 70K .0206 CASE PLAN OR OUT-OF-HOME 

FAMILY SERVICES AGREEMENT 

(a) A residential maternity home shall develop a written case 

plan or out of home family services agreement within 30 days of 

a resident's admission to the maternity home. The case plan or 

out of home family services agreement shall be developed in 

cooperation with the resident, her parents or guardian or the 

legal custodian. The case plan or out-of-home family services 

agreement shall be based upon an assessment of the needs of the 

resident. The case plan or out-of-home family services 

agreement shall include: 

(1) goals stated in specific, realistic, and 

measurable terms; and 

(2) plans that are action oriented, including 

specific responsibilities of the resident, the 

residential maternity home, the parents or 

guardians, other family members, legal 

custodians and other agencies that are 

providing services to the resident. 

(b) The case plan or out-of-home family services agreement 

shall be reviewed within 60 days of placement, the second case 

plan or out-of-home family services agreement review shall 

occur within 90 days of the first review and subsequent reviews 

shall be held every six months. The resident, parents or 

guardians or legal custodians as well as any individual or agency 

providing services shall participate in the reviews to determine 

the resident's progress or lack of progress towards meeting the 

goals and objectives, and to determine changes that need to be 

made in the case plan or out-of-home family services agreement. 

(c) If the legal custodian is a county department of social 

services, the residential maternity home, the department of social 

services, parents or guardian, and resident shall develop a single 

out-of-home family services agreement. The residential 

maternity home shall attend court reviews, child and family team 

meetings, agency reviews and permanency planning action team 

meetings. The Out-of-Home Family Services Agreement (DSS- 

5240 or DSS-5241) and the Transitional Living Plan (CARS 

Plan Review) may serve as the out-of-home family services 

agreement for the maternity home if the documents reflect input 

and participation by the maternity home. Maternity homes shall 

follow the same timeframes for completing these documents as 

described in Paragraph (b) of this Rule. 




844


10A NCAC 70K .0207 CLIENT RIGHTS 

(a) A residential maternity home shall develop and implement 

policies and procedures to protect the individual rights and 

dignity of residents and family members who are provided 

services by the agency. 

(b) A residential maternity home shall have a client's rights 

policy, which includes that each resident has the right to: 

(1) be treated with dignity and respect; 

(2) be free from coercion and influence in 

deciding to parent her baby or release for 

adoption; 

(3) privacy; 

(4) be provided adequate food, clothing and 

shelter; 

(5) have access to family time and have telephone 

conversations with family members and other 

individuals, when not contraindicated in the 

visitation and contact plan; 

(6) have personal property and a space for storage; 

(7) express opinions on issues concerning the 

resident's care or treatment; 

(8) receive care in a manner that recognizes 

variations in cultural values and traditions; 

(9) be free from coercion by agency staff with 

regard to religious or cultural decisions. The 

agency shall have a process to assure that, 

whenever practical, the wishes of the resident 

and the parents of minors with regard to 

religious and cultural participation are 

ascertained and followed; 

(10) not be identified in connection with publicity 

for the agency which shall bring the resident, 

or resident's family embarrassment; 

(11) give written permission before pictures or 

other means of identifying residents are used 

in publicity or public relations for the 

maternity home (if the resident is a minor, 

written permission shall be obtained from the 

parents, guardian or the legal custodian); and 

(12) not be forced to acknowledge dependency on 

or gratitude to the agency. 

(c) A residential maternity home shall have a policy that 

prohibits direct involvement by a resident in funds solicitation 

for the agency. 

(d) A residential maternity home shall have a policy, which 

prohibits the resident's participation in any activities involving 

audio or visual recording and research without the voluntary 

signed, time-limited consent of the resident and, if applicable, 

the resident's parents, guardian or legal custodian. 



10A NCAC 70K .0208 GRIEVANCE PROCEDURES 

(a) A residential maternity home shall provide to each resident, 

parents, guardians or legal custodians of minors, upon 

placement: 


procedures that the resident her parents, 

guardian or legal custodian follows to register 

complaints; 

(2) information about resident's and family's' 

rights; 


of the agency; and 

(4) the process of resolution of a complaint. 

(b) Upon resolution of a grievance, the agency shall maintain a 

copy of the complaint and the resolution in the resident's case 

record. 



10A NCAC 70K .0209 SEARCHES 

(a) A residential maternity home shall have written policies and 

procedures regarding staff conducting searches of resident's 

rooms and possessions that shall be discussed with each resident 

and, if applicable, their parents, guardians or legal custodians 

prior to or upon placement. 



conducted; 

(2) persons who are allowed to conduct searches; 


seized as a result of searches; and 

(4) provision for documenting searches. 



10A NCAC 70K .0210 CRITICAL INCIDENTS AND 

CRITICAL INCIDENT REPORTS 

(a) A maternity home shall have written policies and procedures 

for handling and reporting critical incidents. 

(b) The maternity home shall have and follow policies and 

procedures for handling any suspected incidents of abuse or 

neglect of a resident involving staff, subcontractors, volunteers 

or interns in a facility supervised by the maternity home. The 

policies and procedures shall include: 

(1) a provision for reporting any suspicions of 


department of social services for investigation; 


incident of abuse or neglect and for promptly 

reporting it to the executive director or to the 

governing body; 

(3) a provision for notifying the parents, guardian, 

or legal custodian, if applicable; 



assessment; 








845








assessment. 

(c) Critical incident reports shall be submitted to the licensing 

authority by the executive director or his/her designee on a form 

developed by the licensing authority within 72 hours of the 

critical incident. Critical incidents include the following of a 

resident in placement: 

(1) a death of a resident; 


(3) admission to a hospital as a result of injury or 

serious medical condition; 


(5) runaway lasting more than 24 hours; and 


or federal laws. 

(d) Documentation of the critical incident shall include: 

(1) name of resident or residents involved; 






the report; 

(7) name of resident's parents, guardian or legal 

custodian, if applicable, notified and date and 

time of notification; and 



(e) When there is a death of a resident in placement the 

executive director or his/her designee shall notify the parents, 

guardian, or legal custodian, if applicable, and the licensing 

authority with 72 hours. 

(f) Critical incident reports shall be maintained in a manner 

consistent with the agency's risk management policies that 

include clinical decisions and activities undertaken to identify, 

evaluate and reduce the risk of injury to residents, staff and 

visitors and reduce the risk of loss to the agency and shall be 

made available to the licensing authority upon request.. 



10A NCAC 70K .0301 APPLICATION OF PHYSICAL 

PLANT REQUIREMENTS 

(a) New construction and existing buildings proposed for use as 

a residential maternity home shall comply with the requirements 

of this Section. 

(b) Except when otherwise specified, existing licensed homes or 

portions of existing licensed homes shall meet licensure and 

code requirements in effect at the time of construction, initial 

licensure, change in service, change in resident capacity or 

evacuation capability of the residents, addition, renovation or 

alteration. 

(c) New additions, alterations, modifications and repairs made 

to the building shall meet the requirements of this Section. 

(d) A residential maternity home shall not have two different 

types of occupancies, as defined in the State Building Code in 

the same building. 

(e) Rules contained in this Section are the Physical Plant 

requirements and do not prohibit buildings, systems or 

operational conditions that exceed these requirements. 

(f) Equivalency: Alternate methods, procedures, design criteria 

and functional variations from the physical plant requirements 

shall be approved by the Division of Health Service Regulation 

when the facility can demonstrate to the Division of Health 

Service Regulation's satisfaction, that the intent of the physical 

plant requirements are met and the variation does not reduce the 

safety or operational effectiveness of the facility. 

(g) The facility must comply with all applicable local, state and 

federal regulations. 



10A NCAC 70K .0302 DESIGN AND CONSTRUCTION 

(a) Any building licensed for the first time as a residential 

maternity home shall meet the applicable requirements of the 

North Carolina State Building Code. All new construction, 

additions and renovations to existing buildings shall meet the 

requirements of the North Carolina State Building Code for Oneand 

Two-Family Dwellings and Licensed Residential Care 

Facilities or other classifications as determined by the Division 

of Health Service Regulation, Construction Section based on the 

number and age of the mothers, the number of infants and any 

other dependents of either the expecting mothers or the live-in 

staff. The North Carolina State Building Code, which is 

incorporated by reference, including all subsequent amendments 

can be purchased for one hundred six dollars and twenty-five 

cents ($106.25) at the following web site: 

(http://www.ncdoi.com/OSFM/Engineering/CodeServices/engin 

eering_codeservices_sales.asp) or calling 919-681-6550. 

(b) Mobile homes, whether mobile or permanently situated, 

shall not be used for residential maternity home facilities. 

(c) Each residential maternity home shall be planned, 

constructed, equipped and maintained to provide the services 

offered in the home. 

(d) Any existing building converted from another use to a 

residential maternity home shall meet all the requirements of a 

new facility. 

(e) Any existing licensed residential maternity home when the 

license is terminated for more than 60 days shall meet all 

requirements of a new home prior to being relicensed. 

(f) Any existing licensed residential maternity home that is 

closed or vacant for more than one year shall meet all 


(g) Any existing licensed residential maternity home that plans 

to have new construction, remodeling or physical changes done 

to the facility shall have drawings submitted by the owner or his 

appointed representative to the Division of Health Service 

Regulation for review and approval prior to commencement of 

the work. 


846


(h) The applicant for a residential maternity home shall consult 

the local code enforcement official for information on required 

permits and building code requirements before starting any 

construction or renovations. 

(i) If the building is two stories in height, it shall meet the 

following requirements: 

(1) Infants or children less than six years old shall 

not be housed on any floor other than the level 

of exit discharge. 

(2) A complete fire alarm system with pull 

stations on each floor and sounding devices 

which are audible throughout the building 

shall be provided. The fire alarm system shall 

be able to transmit an automatic signal to the 

local emergency fire department dispatch 

center, either directly or through a central 

station monitoring company connection. 

(j) The basement and the attic shall not to be used for storage or 

sleeping. 

(k) The ceiling shall be at least seven and one-half feet from the 

floor. 

(l) All windows shall be maintained operable. 

(m) The sanitation, water supply, sewage disposal and dietary 

facilities shall comply with the rules of the North Carolina 

Commission for Public Health which are incorporated by 

reference, including all subsequent amendments. The "Rules 

Governing the Sanitation of Hospitals, Nursing Homes, Adult 

Care Homes and Other Institutions", 15A NCAC 18A .1300 and 

the "Rules Governing Sanitation of Residential Care Facilities" 

15A NCAC 18A .1600 are available for inspection at the 

Department of Environment and Natural Resources, Division of 

Environmental Health, 2728 Capital Boulevard, Raleigh, North 

Carolina. Copies may be obtained from Environmental Health 

Services Section, 1632 Mail Service Center, Raleigh, North 

Carolina 27699-1632 at no cost. 

(n) The residential maternity home shall request and obtain 

current inspections from the local sanitarian and the local fire 

inspector. Reports of such inspections shall be maintained in the 

facility and available for review and shall be submitted to the 

licensing authority with the licensure renewal application. 



10A NCAC 70K .0303 LOCATION 

(a) A residential maternity home shall be in a location approved 

by local zoning boards. 

(b) The home shall be located so that hazards to the residents 

are minimized. 

(c) The site of the home shall: 

(1) be accessible by streets, roads and highways 

and be maintained for motor vehicles and 

emergency vehicle access; 

(2) be accessible to fire fighting and other 

emergency services; 

(3) have a water supply, sewage disposal system, 

garbage disposal system and trash disposal 

system approved by the local health 

department having jurisdiction; 

(4) meet all local ordinances; and 

(5) be free from exposure to pollutants known to 

the applicant or licensee. 



10A NCAC 70K .0304 LIVING ARRANGEMENT 

A residential maternity home shall provide living arrangements 

to meet the individual needs of the residents, the live-in staff and 

their children or relative children. There shall be a designated 

room for residents to talk privately with staff and to receive 

visitors. 



10A NCAC 70K .0305 LIVING ROOM 

(a) Residential maternity homes shall have a living room area of 

a minimum of 200 square feet for a capacity of six or fewer 

residents and 15 square feet per additional resident. 

(b) All living rooms shall have operable windows that meet the 

North Carolina State Building Code and be lighted to provide 30 

foot candles of light at floor level. 



10A NCAC 70K .0306 DINING ROOM 

(a) Residential maternity homes shall have a dining room or 

area of a minimum of 120 square feet for a capacity of six or 

fewer residents and 10 square feet per additional resident. The 

dining room may be used for other activities during the day. 

(b) When the dining area is used in combination with a kitchen, 

an area five feet wide shall be allowed as work space in front of 

the kitchen work areas and shall not be included in the required 

square footage. 

(c) The dining room shall have operable windows and be lighted 

to provide 30 foot candles of light at the floor level. 



10A NCAC 70K .0307 KITCHEN 

(a) The kitchen in a residential maternity home shall be large 

enough to provide for the preparation and preservation of food 

and the washing of dishes. 

(b) The kitchen floor shall have a non-slippery, water-resistant 

covering. 

(c) The kitchen shall be approved by the local sanitarian for the 

total number of residents (mothers, infants and any other 

children), as well as any direct care staff and their dependents. 



10A NCAC 70K .0308 BEDROOMS 

(a) There shall be bedrooms sufficient in number and size to 

meet the individual needs of the maternity home residents 


847


(residents include mothers and their children), the live-in staff 

and their children or relative children residing in the home. 

Residents shall not share bedrooms with staff or the staff's' 

children or relative children. 

(b) Only rooms authorized by the Division of Health Service 

Regulation, Construction Section by plan review or field 

inspection, shall be used for bedrooms. 

(c) A room where access is through a bathroom, kitchen or 

another bedroom shall not be approved for a resident's bedroom. 

(d) There shall be a minimum area of 100 square feet, excluding 

vestibule, closet or wardrobe space, in rooms occupied by one 

mother and a minimum area of 80 square feet per bed, excluding 

vestibule, closet or wardrobe space, in rooms occupied by two 

mothers. There shall be additional square footage of 40 square 

feet for each infant and toddler, 60 square feet for each preschool 

aged child and 80 square feet for each school aged child. 

(e) The total number of residents assigned to a bedroom shall 

not exceed the number authorized by the Division of Health 

Service Regulation, Construction Section, by plan review or 

field inspection, for that particular bedroom. 

(f) A bedroom shall not be occupied by more than two mothers 

along with any children or infants of those mothers. 

(g) Each resident bedroom shall have one or more operable 

windows and be lighted to provide 30 foot candles of light at 

floor level. The window area shall be equivalent to at least eight 

percent of the floor space. The windows shall have a maximum 

of 44 inch sill height. Each bedroom shall be provided with a 

window that meets the North Carolina State Building Code for 

emergency egress. These windows shall be openable without 

the use of keys or tools. 

(h) Bedroom closets or wardrobes shall be large enough to 

provide each mother with a minimum of 48 cubic feet of 

separate clothing storage space (approximately two feet deep by 

three feet wide by eight feet high) of which at least one-half 

shall be for hanging clothes with an adjustable height hanging 

bar. Additional closet or wardrobe space shall be provided for 

the children of mothers at the rate of 10 cubic feet per child. 



10A NCAC 70K .0309 BATHROOMS 

(a) Residential maternity homes shall have one full bathroom 

for each five or fewer mothers and children, not including 

infants. Live-in staff shall have a separate bathroom from 

residents in care. 

(b) The bathrooms shall be designed to provide privacy. A 

bathroom with two or more water closets (commodes) shall have 

privacy partitions for each water closet. Each tub or shower 

shall have privacy partitions or curtains. 

(c) Entrance to the bathroom shall not be through a kitchen, 

another person's bedroom or another bathroom. 

(d) The required bathrooms of residents shall be located so there 

is no more than 40 feet from any resident's bedroom door. 

(e) Hand grips shall be installed at all commodes, tubs and 

showers used by the residents. 

(f) Non-skid surfacing or strips shall be installed in showers and 

bath areas. 

(g) The bathrooms shall be lighted to provide 30 foot candles of 

light at floor level and have mechanical ventilation at the rate of 

two cubic feet per minute for each square foot of floor area. 

These vents shall be vented directly to the outdoors. 

(h) The bathroom floor shall have a non-slippery, 

water-resistant covering. 



10A NCAC 70K .0310 CORRIDORS 

(a) Corridors shall be a minimum clear width of three feet. 

(b) Corridors shall be lighted with night lights providing one 

foot candle of light at the floor. 

(c) Corridors shall be free of all equipment and other 

obstructions. 



10A NCAC 70K .0311 OUTSIDE ENTRANCES AND 

EXITS 

(a) In residential maternity homes, all floor levels shall have at 

least two exits. If there are only two, the exit or exit access 

doors shall be so located and constructed to minimize the 

possibility that both may be blocked by any one fire or other 

emergency condition. 

(b) At least one entrance and exit door shall be a minimum 

width of three feet and another shall be a minimum width of two 

feet and eight inches. 

(c) If the home has any resident who requires physical 

assistance with evacuation, the home shall have at least one 

principal outside entrance and exit for the resident's use which 

shall be at grade level or accessible by ramp with a one inch rise 

for each 12 inches of length of the ramp. For the purposes of 

this Rule, a principal outside entrance or exit is one that is most 

often used by residents for vehicular access. 

(d) All exit door locks and latches shall be easily operable from 

the inside at all times without keys. 

(e) All entrances and exits shall be free of all obstructions or 

impediments to allow for full instant use in case of fire or other 

emergency. 

(f) All steps, porches, stoops and ramps shall be provided with 

handrails and guardrails. 

(g) Outdoor stairways and ramps shall be illuminated by no less 




10A NCAC 70K .0312 LAUNDRY ROOM 

Laundry facilities shall be provided. The laundry equipment 

shall be located out of the living, dining and bedroom areas. 




848


10A NCAC 70K .0313 FLOORS 

(a) All floors shall be of smooth, non-skid material and 

constructed to be easily cleanable. 

(b) All floors shall be kept in good repair. 



10A NCAC 70K .0314 HOUSEKEEPING AND 

FURNISHINGS 

(a) Each residential maternity home shall: 

(1) have walls, ceilings, and floors or floor 

coverings kept clean and in good repair; 

(2) have no chronic unpleasant odors; 

(3) have furniture clean and in good repair; 

(4) be maintained in an uncluttered, clean and 

orderly manner, free of all obstructions and 

hazards; 

(5) have a supply of bath soap, clean towels, 

washcloths, sheets, pillow cases, blankets and 

additional coverings adequate for resident use 

on hand at all times; 

(6) have television and radio, each in good 

working order; 

(7) have curtains, draperies or blinds at windows 

in resident use areas to provide for resident 

privacy; 

(8) have recreational equipment, supplies for 

games, books, magazines and a current 

newspaper available for residents; and 

(9) have at least one telephone that does not 

depend on electricity or cellular service to 

operate. Emergency telephone numbers shall 

be posted at the telephone. 

(b) Each bedroom shall have the following furnishings in 

good repair and clean for each mother: 

(1) a bed equipped with box springs and mattress 

or solid link springs and no-sag innerspring or 

foam mattress. No day-bed, convertible sofa or 

other bedding of temporary nature shall be 

used. A water bed is allowed if requested by a 

resident and permitted by the home. Each bed 

is to have the following: 

(A) at least one pillow with clean pillow 

case; 

(B) clean top and bottom sheets on the 

bed, with bed changed as often as 

necessary but at least once a week; 

and 

(C) clean bedspread and other clean 

coverings as needed; 

(2) a bedside type table and lamp; 

(3) chest of drawers or bureau when not provided 

as built-ins, or a double chest of drawers or 

double dresser for two residents; 

(4) a wall or dresser mirror that can be used by 

each resident; 

(5) a minimum of one comfortable chair (rocker 

or straight, arm or without arms, as preferred 

by resident); 

(6) additional chairs available, as needed, for use 

by visitors; 

(7) a light overhead of each bed or a lamp. The 

light shall provide a minimum of 30 

foot-candle power of illumination for reading; 

and 

(8) cribs for each infant; children's beds for other 

children of the mothers. 

(c) The living room shall have functional living room 

furnishings for the comfort of maternity home residents, with 

coverings that are easily cleanable. 

(d) The dining room shall have the following furnishings: 

(1) tables and chairs to seat all residents eating in 

the dining room; and 

(2) high chairs and booster seats for all infants and 

children in the home. 

(e) This Rule shall apply to new and existing homes. 



10A NCAC 70K .0315 FIRE SAFETY AND DISASTER 

PLAN 

(a) Fire extinguishers shall be provided which meet these 

requirements in a residential maternity home: 

(1) one five-pound or larger (net charge) "A-B-C" 

type centrally located; 

(2) one five-pound or larger "A-B-C" or "CO/2" 

type located in the kitchen; and 

(3) any other location as determined by the code 

enforcement official. 

(b) The building shall be provided with smoke detectors as 

required by the North Carolina State Building Code and heat 

detectors located in the attic and connected to a dedicated 

sounding device. 

(c) Any fire safety requirements required by city ordinances or 

county building inspectors shall be met. 

(d) A written fire evacuation plan (including a diagrammed 

drawing) which has the approval of the local code enforcement 

official shall be prepared with a minimum of 1/8 inch high 

letters and posted in a central location on each floor. The plan 

shall be reviewed with each resident on admission and shall be a 

part of the orientation for all new staff. 

(e) There shall be at least four rehearsals of the fire evacuation 

plan each year. A residential maternity home shall maintain 

records of rehearsals and copies furnished to the licensing 

authority upon request. The records shall include the date and 

time of the rehearsals, staff members present and a short 

description of what the rehearsal involved. 

(f) Smoking is not be permitted in the residential maternity 

home. 

(g) A written disaster plan shall be prepared and updated at least 

annually and shall be maintained in the home. This written 

disaster plan requirement shall apply to new and existing homes. 

History Note: 

Authority G.S. 131D-1; 143B-153; 


849



10A NCAC 70K .0316 BUILDING SERVICE 

EQUIPMENT 

(a) The building and all fire safety, electrical, mechanical and 

plumbing equipment in a residential maternity home shall be 

maintained in a safe and operating condition. 

(b) There shall be a central heating system sufficient to maintain 

75 degrees F (24 degrees C) under winter design conditions. 

Built-in electric heaters, if used, shall be installed or protected to 

avoid hazards to residents (mothers and children) and room 

furnishings. Unvented fuel burning room heaters and portable 

electric heaters are prohibited. 

(c) Air conditioning or at least one fan per resident bedroom, 

living and dining areas shall be provided when the temperature 

in the main center corridor exceeds 80 degrees F (26.7 degrees 

C). 

(d) The hot water tank shall be of such size to provide hot water 

to the kitchen, bathrooms and laundry. The hot water 

temperature at all fixtures used by residents shall be maintained 

at a minimum of 100 degrees F (38 degrees C) and shall not 

exceed 116 degrees F (46.7 degrees C). 

(e) All resident areas shall be well lighted for the safety and 

comfort of the residents. The minimum lighting required is: 

(1) 30 foot candle of light for reading; 

(2) 10 foot candle of light for general lighting; and 

(3) one foot candle of light at the floor for 

corridors at night. 

(f) Fireplaces, fireplace inserts and wood stoves shall be 

designed or installed to avoid a burn hazard to residents 

(mothers and children). Solid fuel burning fireplace inserts and 

wood stoves shall be labeled and approved by a third party 

testing agency accredited by the North Carolina Building Code 

Council for solid fuel heating equipment. 

(g) Gas logs may be installed if they are of the vented type, 

installed according to the manufacturers' installation instructions, 

approved through the local building department and protected by 

a guard or screen to prevent residents and furnishings from 

burns. 

(h) This rule shall apply to new and existing residential 

maternity homes. 


Eff October 1, 2008. 

10A NCAC 70K .0317 OUTSIDE PREMISES 

(a) The outside grounds of new and existing residential 

maternity homes shall be maintained in a clean and safe 

condition. 

(b) Fences shall be kept in good repair and shall not prevent 

residents or adult staff from exiting or entering freely or be 

hazardous. 

(c) Outdoor stairways and ramps shall be illuminated by no less 




10A NCAC 70L .0101 USE OF VOLUNTEERS IN 

CHILDREN'S SERVICES CASE 

History Note: Authority G.S. 7A-657; 7A-675; 108A-80; 

143B-153; 143B-154; 143B-155; 143B-156; 

Eff. October 15, 1980; 

Amended Eff. May 1, 1990; January 1, 1983; 


10A NCAC 70L .0102 WAIVER OF LICENSING 

RULES 

The North Carolina Department of Health and Human Services, 

Division of Social Services is the licensing authority and shall 

allow a waiver to a licensing rule or rules to persons subject to 

licensure pursuant to G.S. 131D, Article 1A in accordance with 

the following criteria: 

(1) Persons seeking a waiver shall submit a 

written request on a form developed by the 

licensing authority, to the licensing authority 

showing that another way of meeting a rule 

maintains the health, safety, and well-being of 

individuals being served at or above the level 

required by the rule. 

(2) No waiver shall be allowed by the licensing 

authority to any rule based on a standard 

adopted by the Building Code Council and 

subject to the general supervision and 

enforcement of the Commissioner of 

Insurance. 


authority to any rule governing fire safety. 


authority to any rule based upon a standard 

adopted by the Commission for Public Health. 

(5) The waiver when allowed remains in effect for 

the term of the license and may be renewed if 

the licensing authority determines that the 

health, safety and well-being of individuals 

being served are not threatened. 

(6) Upon receipt of the waiver request form, a 

decision to grant or deny the waiver shall be 

made by the licensing authority within 10 

business days of its receipt. 

History Note: Authority G.S. 131D-10.5; 131D-10.6; 

150B-22; 150B-23; 

Eff. April 1, 1984; 

ARRC Objection March 16, 1988; 

Amended Eff. May 1, 1990; August 1, 1988; 

Temporary Amendment Eff. October 28, 1997; 


10A NCAC 70L .0201 DENIAL, AMENDMENT, 

SUSPENSION AND REVOCATION 

(a) Denial: The North Carolina Department of Health and 

Human Services, Division of Social Services, is the licensing 

authority and shall deny a license at any time for failure to 

comply with licensing rules adopted pursuant to G.S. 131D, 

Article 1A or for operating in a manner that threatens the health, 


850


safety or well being of individuals in the facility or served by the 

agency. In addition, the licensing authority may deny an 

application based on a determination that: 

(1) the applicant is not in compliance with rules 

promulgated under G.S. 131D for the facility 

or agency which the applicant is seeking 

licensure; 

(2) the licensing authority has initiated revocation 

or summary suspension proceedings against 

any facility or agency licensed pursuant to 

G.S. 122C, Article 2, G.S. 131D, Articles 1 or 

1A, or G.S. 110, Article 7, which was 

previously held by the applicant and the 

applicant voluntarily relinquished the license; 

(3) there is a pending appeal of a denial, 

revocation or summary suspension of any 

facility or agency licensed pursuant to G.S. 

122C, Article 2, G.S. 131D, Articles 1 or 1A, 

or G.S. 110, Article 7, which is owned by the 

applicant; 

(4) the applicant has an individual as part of their 

governing body or management who 

previously held a license which was revoked 

or summarily suspended under G.S. 122C, 

Article 2, G.S. 131D, Articles 1 or 1A and 

G.S. 110, Article 7 and the rules adopted under 

these laws; or 


finding or pending investigation by the Health 

Care Professional Registry in accordance with 

G.S. 131E-256. 

(b) Notice: When an application for license of a new facility or 

agency is denied the following applies: 

(1) Pursuant to G.S. 150B-22, the applicant shall 

be given an informal opportunity to provide 

reasons why the license should be issued. 

(2) The licensing authority shall give the applicant 

written notice of the denial, the reasons for the 

denial and advise the applicant of the right to 

request a contested case hearing pursuant to 

G.S. 150B. 

(3) The facility or agency shall not operate until a 

decision is made to issue a license, despite an 

appeal action. 

(c) Amendment: The licensing authority may amend a license 

to indicate a provisional status whenever the licensing authority 

determines there are violations of rules, but the violations do not 

pose an immediate threat to the health, safety or welfare of the 

clients served. The following applies to provisional status: 

(1) Provisional status shall be approved for not 

less than 30 days and not more than six 

months. 

(2) Provisional status shall be effective 

immediately upon notice to the licensee and 

must be posted in a prominent location, 

accessible to public view, within the licensed 

premises. 

(3) The facility shall inform each client residing or 

receiving services from the facility or their 

legally responsible person concerning the 

facility's provisional status. 

(4) A regular license shall be issued when a 

facility is determined by the licensing 

authority to be in compliance with applicable 

rules. 

(5) If a facility fails to comply with the rules 

within the time frame for the provisional 

status, the license shall automatically terminate 

on the expiration date of the provisional status. 

(6) If a licensee has a provisional status at the time 

that the licensee submits a renewal application, 

the license, if renewed, shall also be of a 

provisional status unless the licensing 

authority determines that the violations have 

been corrected. 

(7) A decision to issue a provisional status shall be 

stayed during the period of an appeal as 

specified in 10A NCAC 70L .0301 and the 

licensee may continue to display its license 

during the appeal. 

(d) Summary Suspension: The following applies to summary 

suspension: 

(1) The licensing authority shall issue an order of 

summary suspension and include the findings 

in its order if it finds that the public health, 

safety or welfare considerations require 

emergency action. 

(2) The licensing authority shall suspend only 

those services as necessary to protect the 

public interest. An order of summary 

suspension shall be effective on the date 

specified in the order or on the date of service 

of the order at the last known address of the 

licensee, whichever is later. 

(3) The licensee may contest the order by 

requesting a contested case hearing pursuant to 

G.S. 150B and 10A NCAC 70L .0301. The 

order for summary suspension shall be in full 

force and effect during any contested case 

hearing. 

(4) The order may set a date by which the licensee 

shall remove the cause for emergency action. 

If the licensee fails to meet that deadline, the 

licensing authority may revoke or amend the 

facility's license. 

(e) Revocation: The licensing authority shall revoke a license at 

any time for failure to comply with rules adopted pursuant to 

G.S. 131D, Article 1A or for operating in a manner that 

threatens the health, safety or well being of individuals in the 

facility or served by the agency. Revocation of licensure by the 

licensing authority shall be affected by mailing to the applicant 

or license holder, by certified mail, a notice setting forth the 

particular reasons for such action. A revocation shall become 

effective 60 days after the mailing of the notice absent a petition 

as specified in 10A NCAC 70L .0301. In the event of a petition 

for a contested case hearing a revocation shall not become 

effective until a final decision is made in the contested case 

hearing. 


851


History Note: Authority G.S. 131D-10.5; 131D-10.6; 131D- 

10.9; 143B-153; 150B-22; 150B-23; 


10A NCAC 70L .0301 APPEAL PROCEDURES 

(a) Within 60 days of the decision to deny, suspend or revoke a 

license the applicant or license holder may petition for a 

determination of his/her legal rights, privileges or duties. All 

petitions must be in writing and contain a statement of the facts 

prompting the request sufficient to allow for appropriate 

processing by the licensing authority. 

(b) The petition for a hearing shall be filed with the Office of 

Administrative Hearings in accordance with G.S. 150B-23 and 

26 NCAC 03 .0103. In accordance with G.S. 1A-1, Rule 4(j)4 , 

the petition shall be served on a registered agent for service of 

process for the licensing authority. A list of registered agents 

may be obtained from the Office of Legal Affairs. 

(c) Procedures for the processing of an appeal of an adverse 

licensing action and for the final decision are specified in G.S. 

150B, Article 3 and 10A NCAC 1A. 

History Note: Authority G.S. 131D-10.5; 131D-10.6; 131D- 

10.9; 143B-153; 150B-22; 150B-23; 


10A NCAC 70M .0101 SCOPE 

Rules in this Subchapter contain adoption standards for county 

departments of social services, which are the public agencies in 

North Carolina mandated by law to provide adoption services. 

Included are requirements which shall be met by county 

departments of social services in carrying out their 

responsibilities under Chapter 48 of the General Statutes and in 

the administration of the Adoption Assistance Program under 

G.S. 108A-49 and 108A-50, a funding program to facilitate the 

adoption of certain children with special needs. 



Readopted Eff. October 31, 1977; 

Amended Eff. October 1, 2008; June 1, 1990; February 1, 1986. 

10A NCAC 70M .0201 PUBLIC AGENCIES 

(a) 10A NCAC 70H .0401 governs the policies for public 

agencies providing adoption services in determining the 

qualifications for personnel and in the recruitment, retention, and 

effective performance of qualified personnel. 

(b) 10A NCAC 70F .0207 governs the policies for public 

agencies in the hiring of staff, use of clerical staff, and use of 

volunteers. 

(c) The caseload size of social workers providing adoption 

services shall be in compliance with requirements set forth in 

10A NCAC 70H .0401. 

History Note: Authority G.S. 48-1-101; 48-1-109.; 

143B-153; 




10A NCAC 70M .0302 SERVICES TO ADOPTIVE 

APPLICANTS 

(a) 10A NCAC 70H .0404, .0405, .0406, .0407, 0408 and .0409 

shall govern the policies for public agencies providing adoption 

services in determining the procedures for, the application 

process, preplacement assessment, notification to adoptive 

applicants of acceptance or denial of application, services to 

adoptive applicants and families, legal process and record 

retention. 

(b) A county department of social services shall prepare or 

contract for the preparation of a preplacement assessment for an 

adoptive applicant who has identified a prospective adoptive 

child and has been unable to obtain a preplacement assessment. 

An applicant is deemed unable to obtain a preplacement 

assessment if the applicant is unable to obtain an assessment at 

the fee the county department of social services is permitted to 

charge under 10A NCAC 70M .0303. Except as provided in this 

Subchapter, no county department of social services is required 

to conduct a preplacement assessment unless it agrees to do so. 


48-1-103; 48-1-106; 48-1-109; 48-2-205; 48-2-301; 48-2-302; 

48-2-304; 48-2-305; 48-2-501; 48-2-502; 48-2-503; 48-2-504; 

48-2-601; 48-2-602; 48-2-603; 48-2-604; 48-2-605; 48-2-606; 

48-2-607; 48-3-100; 48-3-201; 48-3-202; 48-3-203; 48-3-204; 

48-3-205; 48-3-301; 48-3-302; 48-3-303; 48-3-304; 48-3-305; 

48-3-306; 48-3-307; 48-3-308; 48-3-30; 48-3-501; 48-4-100; 

48-4-101; 48-4-102; 48-4-103; 48-5-100; 48-5-101; 48-6-100; 

48-6-102; 48-9-101; 48-9-102; 48-10-104; 48-10-105; 131D- 

10.5; 143B-153; 



Amended Eff. October 1, 2008; July 17, 2000; September 1, 

1986. 

10A NCAC 70M .0304 ADOPTIVE HOME 

RECRUITMENT 

The agency shall have a written plan for on-going recruitment of 

adoptive homes for the children it places or plans to place for 

adoption. The plan shall adhere to the provisions of the 

Multiethnic Placement Act of 1994 as amended by the 

Interethnic Adoption Provisions of 1996 and shall be submitted 

to the Division of Social Services, Adoption Unit, to ensure 

compliance with the Act. If the plan is found to be out of 

compliance, it shall be returned to the agency for corrections. A 

copy of the Multiethnic Placement Act of 1994 as amended may 

be obtained from the U. S. Department of Heath and Human 

Services, Children's Bureau, 300 C Street SW, Washington, D.C. 

20447. 


153; 


10A NCAC 70M .0502 GENERAL ELIGIBILITY 

REQUIREMENTS 

(a) The county department of social services having legal 

placement responsibility for a child shall submit an application 

for payment of service fees to the Division of Social Services. . 


852


(b) The application shall provide documentation of the 

following: 

(1) that the agency making application has legal 

placement and consenting authority for the 

child; 

(2) that the child is legally cleared for adoption; 

(3) that the child is one who is considered hard to 

place due to such factors as: 

(A) age; 

(B) race; 

(C) physical, mental, or emotional 

handicap; and 

(D) being a member of a sibling group; 

and 

(4) that the child is registered on the North 

Carolina Adoption Resource Exchange. 

(c) To the extent funds are available, the Division of Social 

Services shall approve the payment of an adoption service fee 

and shall notify the county in writing of this approval. 

(d) The county department of social services shall send the 

Division of Social Services a copy of the purchase of service 

agreement negotiated with the out-of-state provider and shall 

notify the Division of the dates payments are due. 

History Note: Authority G.S. 143B-153; 

Eff. March 23, 1981; 

Amended Eff. October 1, 2008; July 1, 1991; June 1, 1990. 

TITLE 11 – DEPARTMENT OF INSURANCE 

11 NCAC 16 .0403 CALCULATION PROCEDURE 

AND DATA REQUIREMENTS FOR RATE DEVIATIONS 

An insurer requesting a rate deviation shall submit to the 

Department of Insurance the following information, the results 

of each calculation as follows and the corresponding data 

required to perform each calculation in accordance with this 

Rule, identified for each case for which the insurer is requesting 

a rate deviation: 

(1) Identification of the class of business and plan 

of insurance associated with the case; 

(2) Identification of the single or multiple account 

case. For a multiple account case, 

identification of each case; 

(3) For the case, calculate the incurred loss ratio at 

the current North Carolina approved rate as 

defined in Rule .0401(15) of this Section; 

(4) For the case, calculate the credibility factor 

using the credibility formula as defined in 11 

NCAC 16 .0401(6); 

(5) Multiply Item (3) of this Rule by Item (4) of 

this Rule; 

(6) For the class of business, calculate the class of 

business incurred loss ratio at current North 

Carolina approved rate as defined in 11 NCAC 

16. 0401(16); 

(7) For the class of business, calculate the 

credibility factor using the credibility formula 

as defined in 11 NCAC 16.0401(6); 

(8) Multiply Item (7) of this Rule by the quantity 

one minus Item (4) of this Rule, i.e. Item (7) of 

this Rule x [1 - Item (4) of this Rule]; 

(9) Multiply Item (6) of this Rule by Item (8) of 

this Rule; 

(10) Multiply the quantity one minus Item (4) of 

this Rule by the quantity one minus Item (7) of 

this Rule, i.e. [1 - Item (4) of this Rule] x [1 - 

Item (7) of this Rule]; 

(11) Multiply .60 by Item (10) of this Rule; 

(12) Add Items (5), (9) and (11) of this Rule; 

(13) Calculate the expense ratio as defined in 11 

NCAC 16. 0401(9); 

(14) Calculate the benchmark loss ratio as defined 

in 11 NCAC 16. 0401(11); 

(15) The rate adjustment factor is equal to Item (12) 

of this Rule divided by Item (14) of this Rule; 

however, if the rate adjustment factor is 

greater than or equal to 0.95 and less than or 

equal to 1.05, then the rate adjustment factor 

shall be set equal to the number one; and 

(16) The maximum approved rate in effect for a 

period of 12 months is equal to the current 

North Carolina approved rate for the case 

multiplied by Item (15) of this Rule. 

History Note Authority G.S. 58-2-40; 58-57-35(a); 58-57- 

70; 



11 NCAC 18 .0118 MAXIMUM NET RETENTION 

STANDARD 

(a) The specific maximum net retention limit for any MEWA, 

associated with the period of time that the excess insurance 

coverage is in force, shall be calculated in the following manner: 

(1) Determine the total expected dollar value of 

claims; 

(2) Determine the total surplus at the beginning of 

the period of time that the excess insurance 

coverage is scheduled to be in force; 

(3) Multiply Subparagraph (a)(1) of this Rule by 

one percent and add that product to 

Subparagraph (a)(2) of this Rule; 

(4) Multiply the result of the calculation in 

Subparagraph (a)(3) of this Rule times itself; 

(5) Multiply Subparagraph (a)(1) of this Rule by 

the number 3.4; and 

(6) Divide the product of the calculation in 

Subparagraph (a)(4) of this Rule by the 

product of the calculation in Subparagraph 

(a)(5) of this Rule. 

(b) The specific maximum net retention limit shall not exceed 

the lesser of: 

(1) The amount in Subparagraph (a)(6) of this 

Rule; 


853


(2) Twenty-five thousand dollars ($25,000); or 

(3) The specific maximum net retention limit 

determined by or for the MEWA in 

accordance with sound actuarial principles. 

(c) The aggregate maximum net retention shall not exceed the 

lesser of: 

(1) One hundred twenty-five percent of 

Subparagraph (a)(1) of this Rule; or 

(2) The aggregate maximum net retention limit 

determined by or for the MEWA in 

accordance with sound actuarial principles. 

(d) The Commissioner may approve a specific maximum net 

retention limit or an aggregate maximum net retention limit or 

both in excess of those calculated pursuant to this Rule, upon 

application to the Commissioner and the Commissioner's 

determination that the increase would not inhibit the ability of 

the MEWA to perform its present and future contractual 

obligations to policyholders and participants under the MEWA's 

plan. 

History Note Authority G.S. 58-2-40; 58-49-40(c); 

Eff. July 1, 1992; 


TITLE 13 – DEPARTMENT OF LABOR 

13 NCAC 13 .0210 SHOP INSPECTIONS AND 

NATIONAL BOARD R STAMP QUALIFICATION 

REVIEWS 

(a) Shop Inspections. 

(1) Manufacturers or repair firms seeking to 

employ the Boiler Safety Bureau to act as their 

Authorized Inspection Agency pursuant to the 

ASME Code or National Board Inspection 

Code, shall enter into a written agreement with 

the North Carolina Department of Labor, 

Boiler Safety Bureau for this purpose. 

(2) An audit of the Deputy Inspector serving as 

the Authorized Inspector pursuant to 

Subparagraph (a)(1), of this Rule, and the 

contracting company in which he/she is 

working shall be conducted on an annual basis 

for non-nuclear companies and twice each year 

for nuclear companies. The contracting 

company is required to pay the audit fees 

required in Rule .0213 of this Section. 

(b) National Board R Stamp Qualification Reviews 

(1) The Chief Inspector or his designee shall 

conduct the qualification reviews for issuance 

of the National Board R symbol stamp 

pursuant to the National Board Inspection 

Code as adopted, except as provided in 

Subparagraph (b)(2) of this Rule. 

(2) The Chief Inspector or his designee shall not 

conduct the qualification reviews of those 

companies for which the Boiler Safety Bureau 

provides inspection services, or those 

companies which specifically request the 

review be conducted by the National Board. 

(3) A review to be conducted by the Boiler Safety 

Bureau shall be scheduled upon receipt of 

request by the National Board. A deposit of 

twelve hundred dollars ($1,200.00) shall be 

made by the applying company to cover the 

fees and expenses incurred and shall be 

received by the Boiler Safety Bureau no less 

than 30 days prior to the subject review. This 

deposit will be applied to the cost of the 

review. Payment of the fee as required in Rule 

.0213 of this Section shall be the responsibility 

of the company being reviewed. Should an 

applicant not be successful in obtaining 

accreditation, the applicable deposit shall be 

paid before a new review is conducted. 

History Note: Authority G.S. 95-69.11; 95-69.14; 

Eff. May 29, 1981; 

Amended Eff. October 1, 2008; July 1, 2006; January 1, 1995. 

13 NCAC 13 .0701 STANDARDS 

(a) Nuclear power components and systems covered under the 

scope of Section III of the ASME Code shall be designed, 

constructed, reworked, stamped, and installed in accordance 

with Section III of the ASME Code. Balance of plant items may 

be constructed under other ASME Code sections as appropriate. 

(b) All nuclear power systems falling under the scope of the 

ASME Code, Section III, are inspected in service under the 

requirements of Section XI of the ASME Code. The equipment 

is not required to be inspected under this Chapter. Balance of 

plant pressure equipment not covered by Section XI are required 

to be registered with a North Carolina identification number and 

inspected in accordance with this Chapter. 

(c) A vessel composed of two or more pressure retaining 

compartments shall constitute one complete unit for the purpose 

of assigning the North Carolina identification number. 

(d) The design criteria for nuclear power systems shall be 

certified as to compliance with Section III of the ASME Code by 

a registered professional engineer with at least one year of 

experience in nuclear pressure vessel design. 

History Note: Authority G.S. 95-69.9; 95-69.11; 95-69.14; 

Eff. May 29, 1981; 

Amended Eff. October 1, 2008; July 1, 2006; June 1, 1982. 

TITLE 15A – DEPARTMENT OF ENVIRONMENT AND 

NATURAL RESOURCES 

15A NCAC 01O .0101 SCOPE OF DELEGATED 

AUTHORITY 

No person shall act as an authorized agent of the state in 

enforcing the provisions of G.S. 130A and the rules of the 

Commission for Public Health, and the rules of the 

Environmental Management Commission, who is not a current 

employee of a local health department or the North Carolina 


854


Alliance of Public Health Agencies, registered with the North 

Carolina State Board of Sanitarian Examiners as a Registered 

Sanitarian or Sanitarian Intern and authorized pursuant to these 

Rules. Except as provided in Rule .0105 of this Section, an 

authorization shall be valid only in the county or district served 

by the local health department which employs the agent. There 

shall be eight areas of authorization to enforce the provisions of 

G.S. 130A and the rules of the Commission for Public Health 

found in 15A NCAC 18A and the rules of the Environmental 

Management Commission found in 15A NCAC 02C as follows: 

(1) Food, Lodging, and Institution Sanitation 

including the following: 

(a) .1000 Sanitation of Summer Camps; 

(b) .1300 Sanitation of Hospitals; 

Nursing and Rest Homes; 

Sanitariums, 

Sanitoriums; 

Educational and other Institutions; 

(c) .1500 Sanitation of Local 

Confinement Facilities; 

(d) .1600 Sanitation of Residential Care 

Facilities; 

(e) .1800 Sanitation of Lodging 

Establishments; 

(f) .2100 Rules Governing the Sanitation 

& Safety of Migrant Housing; 

(g) .2200 Sanitation of Bed and Breakfast 

Homes; 

(h) .2400 Sanitation of Public, Private, 

and Religious Schools; 

(i) .2600 Sanitation of Restaurants and 

Other Foodhandling Establishments; 

(j) .2700 Sanitation of Meat Markets; 

and 

(k) .3000 Bed and Breakfast Inns. 

(2) On-Site Wastewater, including the following: 

(a) .1900 Sewage Treatment and 

Disposal Systems; 

(b) .1603 and .1606, 1611(a) and (b) and 

.1613 Sanitation of Residential Care 

(c) 

Facilities (Family Foster Homes); and 

.2100 Rules Governing the Sanitation 

and Safety of Migrant Housing. 

(3) .2800 Sanitation of Child Care Centers. 

(4) .3100 Lead Poisoning Prevention in Children 

Program. 

(5) .2500 Public Swimming Pools. 

(6) .3200 Tattooing. 

(7) .1603, .1606, .1611(a) and (b), .1613 

Sanitation of Residential Care Facilities 

(Family Foster Homes) and .2100 Rules 

Governing the Sanitation and Safety of 

Migrant Housing. 

(8) G.S. 87-97 and 15A NCAC 02C .0100 

Standards of Construction: Water-Supply 

Wells. 

History Note: Authority G.S. 87-87; 130A-4; 

Temporary Adoption Eff. March 1, 1998; 


Temporary Amendment Eff. March 28, 2006; 


15A NCAC 01O .0102 ELIGIBILITY FOR 

DELEGATION OF AUTHORITY 

(a) The applicant for authorization shall successfully complete 

the centralized training course provided by the Division. 

(b) The applicant shall successfully complete field practice by 

evaluating sites and establishments with an authorized 

environmental health specialist to assure that the applicant 

knows the rules of the Commission for Public Health and the 

Environmental Management Commission, as applicable, and 

how to properly enforce them. 

(c) When the supervisor determines that the applicant has 

progressed sufficiently to work independently, the applicant may 

request to be evaluated for authorization. Documentation of the 

satisfactory completion of all required orientation activities and 

field practice, including any inspection or evaluation forms 

completed by the applicant and comments of the supervisor shall 

be forwarded to the regional specialist. 

(d) If, upon reviewing the file, the regional specialist finds that 

the applicant needs additional study or field practice, the 

evaluation for authorization may be postponed until that study or 

practice has been completed. 

(e) Upon satisfactory completion of the requirements in 

Paragraphs (a) through (d) of this Rule, the regional specialist 

shall coordinate the administration of a written test which the 

applicant must pass by a score of 70 percent or more. The test 

may be repeated if necessary. 

(f) An applicant requesting authorization for 15A NCAC 18A 

.3100 Lead Poisoning Prevention in Children Program shall take 

and successfully complete the North Carolina State of Practice 

course entitled "Lead Investigation and Abatement" and shall 

pass the written test provided by that course. An applicant 

requesting authorization for only 15A NCAC 18A Lead 

Poisoning Prevention in Children Program shall not be required 

to take the exam required in Paragraph (e) of this Rule. 

(g) An applicant requesting authorization for 15A NCAC 02C 

.0100 to enforce the private well construction rules of the 

Environmental Management Commission shall take and 

successfully complete the North Carolina State of Practice 

course entitled Basic Private Wells Authorization Training: 

Groundwater Protection and Public Health or the Private Well 

portion of Centralized Intern Training, including any written 

test(s) associated with the course he or she takes. An applicant 

requesting authorization for 15A NCAC 02C .0100 Standards of 

Construction: Water-Supply Wells who has more than 18 

months of experience in a well inspection program approved by 

the Department shall be required to take only the exam required 

in Paragraph (e) of this Rule. 

(h) After the applicant has successfully completed the written 

test, the regional specialist shall conduct a field evaluation of the 

applicant's knowledge, skills, and ability to enforce the 

provisions of G.S. 130A and the rules of the Commission. 

Following the field evaluation, the regional specialist shall make 

a recommendation to the Director of the Division of 

Environmental Health regarding issuance or denial of 

authorization. 


855


History Note: Authority G.S. 87-87; 130A-4; 




15A NCAC 01O .0103 DELEGATION OF AUTHORITY 

Upon determination that the criteria in Rules .0101 and .0102 of 

this Section have been met and none of the reasons for denial 

listed in Rule .0107 of this Section exist, and upon a review of 

the recommendation of the regional specialist, the Director, 

Division of Environmental Health, shall issue or deny 

authorization. An Identification Card shall be issued by the 

Division to each person authorized to enforce provisions of G.S. 

130A and the rules of the Commission for Public Health and 

G.S. 87-87, G.S. 87-97 and the rules of the Environmental 

Management Commission. The card shall be carried by the 

agent at all times when on duty. The card is the property of the 

Division and shall be returned to the Division upon separation of 

employment, suspension, or revocation of authorization or 

failure to maintain registration with the N.C. Board of Sanitarian 

Examiners. 





* * * * * * * * * * * * * * * * * * * * 

15A NCAC 03I .0101 DEFINITIONS 

All definitions set out in G.S. 113, Subchapter IV and the 

following additional terms apply to this Chapter: 

(1) Enforcement and management terms: 

(a) Commercial Quota. Total quantity of 

fish allocated for harvest by 

commercial fishing operations. 

(b) Educational Institution. A college, 

university or community college 

accredited by an accrediting agency 

recognized by the U.S. Department of 

Education. 

(c) Internal Coastal Waters or Internal 

Waters. All coastal fishing waters 

except the Atlantic Ocean. 

(d) Length of finfish. 

(i) Curved fork length. A 

length determined by 

measuring along a line, 

tracing the contour of the 

body from the tip of the 

upper jaw to the middle of 

the fork in the caudal (tail) 

fin. 

(ii) Fork length. A length 

determined by measuring 

along a straight line the 

distance from the tip of the 

snout with the mouth closed 

to the middle of the fork in 

the caudal (tail) fin, except 

that fork length for billfish is 

measured from the tip of the 

lower jaw to the middle of 

the fork of the caudal (tail) 

fin. 

(iii) Total length. A length 

determined by measuring 

along a straight line the 

distance from the tip of the 

snout with the mouth closed 

to the tip of the compressed 

caudal (tail) fin. 

(e) Recreational Possession Limit. 

Restrictions on size, quantity, season, 

time period, area, means, and 

methods where take or possession is 

for a recreational purpose. 

(f) 

Recreational Quota. Total quantity of 

fish allocated for harvest for a 

recreational purpose. 

(g) Regular Closed Oyster Season. 

March 31 through October 15, unless 

amended by the Fisheries Director 

through proclamation authority. 

(h) 

(2) Fishing Activities: 

(a) 

(b) 

Seed Oyster Management Area. An 

open harvest area that, by reason of 

poor growth characteristics, predation 

rates, overcrowding or other factors, 

experiences poor utilization of oyster 

populations for direct harvest and sale 

to licensed dealers and is designated 

by the Marine Fisheries Commission 

as a source of seed for public and 

private oyster culture. 

Aquaculture operation. An operation 

that produces artificially propagated 

stocks of marine or estuarine 

resources or obtains such stocks from 

permitted sources for the purpose of 

rearing in a controlled environment. 

A controlled environment provides 

and maintains throughout the rearing 

process one or more of the following: 

(i) food, 

(ii) predator protection, 

(iii) salinity, 

(iv) temperature controls, or 

(v) water circulation, 

utilizing technology not found in the 

natural environment. A shedding 

operation does not include 

transporting pink or red-line peeler 

crabs to a permitted shedding 

operation. 

Attended. Being in a vessel, in the 

water or on the shore and 

immediately available to work the 


856


gear and within 100 yards of any gear 

in use by that person at all times. 

Attended does not include being in a 

building or structure. 

(c) Blue Crab Shedding. The process 

whereby a blue crab emerges soft 

from its former hard exoskeleton. A 

shedding operation is any operation 

that holds peeler crabs in a controlled 

environment. A controlled 

environment provides and maintains 

throughout the shedding process one 

or more of the following: 

(i) food, 

(ii) predator protection, 

(iii) salinity, 

(iv) temperature controls, or 

(v) water circulation, 

utilizing technology not found in the 

natural environment. A shedding 

operation does not include 

transporting pink or red-line peeler 

crabs to a permitted shedding 

operation. 

(d) Depuration. Purification or the 

removal of adulteration from live 

oysters, clams, and mussels by any 

natural or artificially controlled 

means. 

(e) Long Haul Operations. Fishing a 

seine towed between two boats. 

(f) Peeler Crab. A blue crab that has a 

soft shell developing under a hard 

shell and having a white, pink, or redline 

or rim on the outer edge of the 

back fin or flipper. 

(g) 

Possess. Any actual or constructive 

holding whether under claim of 

ownership or not. 

(h) Recreational Purpose. A fishing 

activity that is not a commercial 

fishing operation as defined in G.S. 

113-168. 

(i) 

(j) 

(k) 

Shellfish marketing from leases and 

franchises. The harvest of oysters, 

clams, scallops, mussels, from 

privately held shellfish bottoms and 

lawful sale of those shellfish to the 

public at large or to a licensed 

shellfish dealer. 

Shellfish planting effort on leases and 

franchises. The process of obtaining 

authorized cultch materials, seed 

shellfish, and polluted shellfish stocks 

and the placement of those materials 

on privately held shellfish bottoms 

for increased shellfish production. 

Shellfish production on leases and 

franchises: 

(l) 

(m) 

(n) 

(3) Gear: 

(a) 

(b) 

(c) 

(i) The culture of oysters, 

clams, scallops, and mussels, 

on shellfish leases and 

franchises from a sublegal 

harvest size to a marketable 

size. 

(ii) The transplanting (relay) of 

oysters, clams, scallops and 

mussels from areas closed 

due to pollution to shellfish 

leases and franchises in open 

waters and the natural 

cleansing of those shellfish. 

Swipe Net Operations. Fishing a 

seine towed by one boat. 

Transport. Ship, carry, or cause to be 

carried or moved by public or private 

carrier by land, sea, or air. 

Use. Employ, set, operate, or permit 

to be operated or employed. 

Bunt Net. The last encircling net of a 

long haul or swipe net operation 

constructed of small mesh webbing. 

The bunt net is used to form a pen or 

pound from which the catch is dipped 

or bailed. 

Channel Net. A net used to take 

shrimp which is anchored or attached 

to the bottom at both ends or with one 

end anchored or attached to the 

bottom and the other end attached to 

a boat. 

Commercial Fishing Equipment or 

Gear. All fishing equipment used in 

coastal fishing waters except: 

(i) 

(ii) 

(iii) 

Cast nets; 

Collapsible crab traps, a trap 

used for taking crabs with 

the largest open dimension 

no larger than 18 inches and 

that by design is collapsed at 

all times when in the water, 

except when it is being 

retrieved from or lowered to 

the bottom; 

Dip nets or scoops having a 

handle not more than eight 

feet in length and a hoop or 

frame to which the net is 

attached not exceeding 60 

inches along the perimeter; 

(iv) Gigs or other pointed 

implements which are 

propelled by hand, whether 

or not the implement 

remains in the hand; 

(v) 

Hand operated rakes no 

more than 12 inches wide 


857


(d) 

and weighing no more than 

six pounds and hand 

operated tongs; 

(vi) Hook-and-line and 

bait-and-line equipment 

other than multiple-hook or 

multiple-bait trotline; 

(vii) Landing nets used to assist 

in taking fish when the 

initial and primary method 

of taking is by the use of 

hook and line; 

(viii) Minnow traps when no more 

than two are in use; 

(ix) Seines less than 30 feet in 

length; 

(x) Spears, Hawaiian slings or 

similar devices, which 

propel pointed implements 

by mechanical means, 

including elastic tubing or 

bands, pressurized gas or 

similar means. 

Dredge. A device towed by engine 

power consisting of a frame, tooth bar 

or smooth bar, and catchbag used in 

the harvest of oysters, clams, crabs, 

scallops, or conchs. 

(e) Fixed or stationary net. A net 

anchored or staked to the bottom, or 

some structure attached to the bottom, 

at both ends of the net. 

(f) Fyke Net. An entrapment net 

supported by a series of internal or 

external hoops or frames, with one or 

more lead or leaders that guide fish to 

the net mouth. The net has one or 

more internal funnel-shaped openings 

with tapered ends directed inward 

from the mouth, through which fish 

enter the enclosure. The portion of 

the net designed to hold or trap fish is 

completely enclosed in mesh or 

webbing, except for the openings for 

fish passage into or out of the net 

(funnel area). 

(g) 

Gill Net. A net set vertically in the 

water to capture fish by entanglement 

by the gills in its mesh as a result of 

net design, construction, mesh size, 

webbing diameter or method in which 

it is used. 

(h) Hoop Net. An entrapment net 

supported by a series of internal or 

external hoops or frames. The net has 

one or more internal funnel-shaped 

openings with tapered ends directed 

inward from the mouth, through 

which fish enter the enclosure. The 

(i) 

(j) 

(k) 

(l) 

(m) 

(n) 

(4) Habitat: 

(a) 

portion of the net designed to hold or 

trap the fish is completely enclosed in 

mesh or webbing, except for the 

openings for fish passage into or out 

of the net (funnel area). 

Mechanical methods for clamming. 

Includes dredges, hydraulic clam 

dredges, stick rakes and other rakes 

when towed by engine power, patent 

tongs, kicking with propellers or 

deflector plates with or without 

trawls, and any other method that 

utilizes mechanical means to harvest 

clams. 

Mechanical methods for oystering. 

Includes dredges, patent tongs, stick 

rakes and other rakes when towed by 

engine power and any other method 

that utilizes mechanical means to 

harvest oysters. 

Mesh Length. The diagonal distance 

from the inside of one knot to the 

outside of the other knot, when the 

net is stretched hand-tight. 

Pound Net Set. A fish trap consisting 

of a holding pen, one or more 

enclosures, lead or leaders, and stakes 

or anchors used to support the trap. 

The lead(s), enclosures, and holding 

pen are not conical, nor are they 

supported by hoops or frames. 

Purse Gill Nets. Any gill net used to 

encircle fish when the net is closed by 

the use of a purse line through rings 

located along the top or bottom line 

or elsewhere on such net. 

Seine. A net set vertically in the 

water and pulled by hand or power to 

capture fish by encirclement and 

confining fish within itself or against 

another net, the shore or bank as a 

result of net design, construction, 

mesh size, webbing diameter, or 

method in which it is used. 

Coral: 

(i) 

Fire corals and hydrocorals 

(Class Hydrozoa); 

(ii) Stony corals and black 

corals (Class Anthozoa, 

Subclass Scleractinia); 

(iii) Octocorals; Gorgonian 

corals (Class Anthozoa, 

Subclass Octocorallia), 

which include sea fans 

(Gorgonia sp.), sea whips 

(Leptogorgia sp. and 

Lophogorgia sp.), and sea 

pansies (Renilla sp.). 


858


(b) 

Fish habitat areas. The estuarine and 

marine areas that support juvenile and 

adult populations of fish species, as 

well as forage species utilized in the 

food chain. Fish habitats as used in 

this definition, are vital for portions 

of the entire life cycle, including the 

early growth and development of fish 

species. Fish habitats in all coastal 

fishing waters, as determined through 

marine and estuarine survey 

sampling, include: 

(i) Anadromous fish nursery 

areas. Anadromous fish 

nursery areas are those areas 

in the riverine and estuarine 

systems utilized by 

post-larval and later juvenile 

anadromous fish. 

(ii) Anadromous fish spawning 

areas. Anadromous fish 

spawning areas are those 

areas where evidence of 

spawning of anadromous 

fish has been documented in 

Division sampling records 

through direct observation of 

spawning, capture of 

running ripe females, or 

capture of eggs or early 

larvae. 

(iii) Beds of submerged aquatic 

vegetation. Beds of 

submerged aquatic 

vegetation are those habitats 

in public trust and estuarine 

waters vegetated with one or 

more species of submerged 

vegetation such as eelgrass 

(Zostera marina), shoalgrass 

(Halodule wrightii) and 

widgeongrass (Ruppia 

maritima). These vegetation 

beds occur in both subtidal 

and intertidal zones and may 

occur in isolated patches or 

cover extensive areas. In 

either case, the bed is 

defined by the presence of 

above-ground leaves or the 

below-ground rhizomes and 

propagules together with the 

sediment on which the plants 

grow. In defining beds of 


vegetation, the Marine 

Fisheries Commission 

recognizes the Aquatic 

Weed Control Act of 1991 

(G.S. 113A-220 et. seq.) and 

does not intend the 


vegetation definition, or 

rules 15A NCAC 03K .0304, 

.0404 and 03I .0101, to 

apply to or conflict with the 

non-development control 

activities authorized by that 

Act. 

(iv) Nursery areas. Nursery 

areas are those areas in 

which for reasons such as 

food, cover, bottom type, 

salinity, temperature and 

other factors, young finfish 

and crustaceans spend the 

major portion of their initial 

growing season. Primary 


in the estuarine system 

where initial post-larval 

development takes place. 

These are areas where 

populations are uniformly 

early juveniles. Secondary 


in the estuarine system 

where later juvenile 

development takes place. 

Populations are composed of 

developing sub-adults of 

similar size which have 

migrated from an upstream 

primary nursery area to the 

secondary nursery area 

located in the middle portion 

of the estuarine system. 

(v) Shellfish producing habitats. 

Shellfish producing habitats 

are those areas in which 

shellfish, such as clams, 

oysters, scallops, mussels, 

and whelks, whether 

historically or currently, 

reproduce and survive 

because of such favorable 

conditions as bottom type, 

salinity, currents, cover, and 

cultch. Included are those 

shellfish producing areas 

closed to shellfish harvest 

due to pollution. 

(vi) Strategic Habitat Areas. 

Strategic Habitat Areas are 

locations of individual fish 

habitats or systems of 

habitats that provide 

exceptional habitat functions 


859


or that are particularly at risk 

due to imminent threats, 

vulnerability, or rarity. 

(c) Intertidal Oyster Bed. A formation, 

regardless of size or shape, formed of 

shell and live oysters of varying 

density. 

(d) Live rock. Living marine organisms 

or an assemblage thereof attached to a 

hard substrate, excluding mollusk 

shells, but including dead coral or 

rock. Living marine organisms 

associated with hard bottoms, banks, 

reefs, and live rock may include: 

(i) Coralline algae (Division 

Rhodophyta); 

(ii) Acetabularia sp., mermaid's 

fan and cups (Udotea sp.), 

watercress (Halimeda sp.), 

green feather, green grape 

algae (Caulerpa sp.) 

(Division Chlorophyta); 

(iii) Sargassum sp., Dictyopteris 

sp., Zonaria sp. (Division 

Phaeophyta); 

(iv) Sponges (Phylum Porifera); 

(v) Hard and soft corals, sea 

anemones (Phylum 

Cnidaria), including fire 

corals (Class Hydrozoa), and 

Gorgonians, whip corals, sea 

pansies, anemones, 

Solengastrea (Class 

Anthozoa); 

(vi) Bryozoans (Phylum 

Bryozoa); 

(vii) Tube worms (Phylum 

Annelida), fan worms 

(Sabellidae); feather duster 

and Christmas treeworms 

(Serpulidae), and sand castle 

worms (Sabellaridae); 

(viii) Mussel banks (Phylum 

Mollusca: Gastropoda); 

(ix) Acorn barnacles 

(Arthropoda: Crustacea: 

Semibalanus sp.). 

(5) Licenses, permits, leases and franchises, and 

record keeping: 

(a) Assignment. Temporary transferal to 

another person of privileges under a 

license for which assignment is 

permitted. The person assigning the 

license delegates the privileges 

permitted under the license to be 

exercised by the assignee, but retains 

the power to revoke the assignment at 

any time, is still the responsible party 

for the license. 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

Designee. Any person who is under 

the direct control of the permittee or 

who is employed by or under contract 

to the permittee for the purposes 

authorized by the permit. 

For Hire Vessel. As defined by G.S. 

113-174 when the vessel is fishing in 

state waters or when the vessel 

originates from or returns to a North 

Carolina port. 

Holder. A person who has been 

lawfully issued in their name a 

license, permit, franchise, lease, or 

assignment. 

Land: 

(i) For commercial fishing 

operations, when fish reach 

the shore or a structure 

(ii) 

connected to the shore. 

For purposes of trip tickets, 

when fish reach a licensed 

seafood dealer, or where the 

fisherman is the dealer, 

when the fish reaches the 

shore or a structure 

connected to the shore. 

(iii) For recreational fishing 

operations, when fish are 

retained in possession by the 

fisherman. 

Licensee. Any person holding a valid 

license from the Department to take 

or deal in marine fisheries resources. 

Master. Captain of a vessel or one 

who commands and has control, 

authority, or power over a vessel. 

New fish dealer. Any fish dealer 

making application for a fish dealer 

license who did not possess a valid 

dealer license for the previous license 

year in that name or ocean pier 

license in that name on June 30, 

1999. For purposes of license 

issuance, adding new categories to an 

existing fish dealers license does not 

constitute a new dealer. 

(i) North Carolina Trip Ticket. 

Multiple-part form provided by the 

Department to fish dealers who are 

required to record and report 

transactions on such forms. 

(j) 

Office of the Division. Physical 

locations of the Division conducting 

license transactions in the cities of 

Wilmington, Washington, Morehead 

City, Columbia, Wanchese and 

Elizabeth City, North Carolina. Other 

businesses or entities designated by 

the Secretary to issue Recreational 


860


Commercial Gear Licenses are not 

considered Offices of the Division. 

(k) Responsible party. Person who 

coordinates, supervises or otherwise 

directs operations of a business entity, 

such as a corporate officer or 

executive level supervisor of business 

operations and the person responsible 

for use of the issued license in 

compliance with applicable statutes 

and rules. 

(l) Tournament Organizer. The person 

who coordinates, supervises or 

otherwise directs a recreational 

fishing tournament and is the holder 

of the Recreational Fishing 

Tournament License. 

(m) Transaction. Act of doing business 

such that fish are sold, offered for 

sale, exchanged, bartered, distributed 

or landed. 

(n) Transfer. Permanent transferal to 

another person of privileges under a 

license for which transfer is 

permitted. The person transferring 

the license retains no rights or interest 

under the license transferred. 

History Note: Authority G.S. 113-134; 113-174; 

143B-289.52; 


Amended Eff. March 1, 1995; March 1, 1994; October 1, 1993; 

July 1, 1993; 

Recodified from 15A NCAC 03I .0001 Eff. December 17, 1996; 

Amended Eff. April 1, 1999; August 1, 1998; April 1, 1997; 

Temporary Amendment Eff. May 1, 2000; August 1, 1999; July 

1, 1999; 

Amended Eff. August 1, 2000; 

Temporary Amendment Eff. August 1, 2000; 

Amended Eff. October 1, 2008; December 1, 2007; December 1, 

2006; September 1, 2005; April 1, 2003; April 1, 2001. 

15A NCAC 03J .0105 PURSE SEINES 

(a) It is unlawful to use purse seines except for the taking of 

menhaden, Atlantic thread herring, gizzard shad or pinfish, as 

further restricted by Paragraphs (b) and (c) of this Rule. 

(b) It is unlawful to take menhaden, Atlantic thread herring, 

gizzard shad or pinfish with a purse seine in violation of any of 

the following limitations: 

(1) In the Atlantic Ocean during the periods and 

within an area described: 

(A) In 15A NCAC 03R .0111, and 

(B) By Session Law 2007-320. 

(2) Except as provided in Subparagraph (5) of this 

Paragraph, between January 16 and May 14 in: 

(A) Internal waters, and 

(B) Atlantic Ocean within one mile of 

shore. 

(3) Between January 16 and March 31 in Core 

Sound. 

(4) In internal waters except in: 

(A) 

(B) 

Pamlico Sound, 

Pamlico River east of a line from 

Wades Point to Intracoastal 

Waterway Marker No. 1 at the mouth 

of Goose Creek, 

(C) Neuse River east of a line from 

Wilkinson Point to Cherry Point, 

(D) Adams Creek, 

(E) Core Sound and its tributaries, 

(F) Back Sound, the Straits, and North 

river, 

(G) Newport River, 

(H) North River, and 

(I) Bogue Sound. 

(5) The Fisheries Director may, by proclamation, 

open the Atlantic Ocean within one mile of 

shore and the internal waters specified in 

Subparagraph (4) of this Paragraph between 

April 1 and May 14, and may impose any or 

all of the following restrictions: 

(A) 

(B) 

(C) 

Specify means and methods by area 

which may be employed in the 

taking; 

Limit the quantity; and 

Require submission of statistical and 

biological data. 

(c) Menhaden, Atlantic thread herring, gizzard shad or pinfish 

may be taken at any time with a purse seine from beyond one 

mile of shore in the Atlantic Ocean and transported to port 

except as specified by Session Law 2007-320 and except as 

prohibited below: 

(1) It is unlawful to take menhaden, Atlantic 

thread herring, gizzard shad or pinfish by use 

of a purse seine between sunset on any Friday 

and sunrise of the following Monday from the 

Friday of the Memorial Day weekend through 

sunset on Labor Day each year. 

(2) It is unlawful to take menhaden, Atlantic 

thread herring, gizzard shad or pinfish by use 

of a purse seine between the hours of sunrise 

and sunset on the following holidays: 

(A) 

(B) 

Memorial Day; 

Fourth of July, when the Fourth of 

July falls on any calendar day Friday 

through Monday; and 

(C) Labor Day. 

(d) It is unlawful for the responsible party to fail to carry out the 

following requirements when a fish spill from a purse seine 

occurs: 

(1) Immediately notify the office of the Fisheries 

Director of the North Carolina Division of 

Marine Fisheries of such spill; and 

(2) Report to the Fisheries Director of the North 

Carolina Division of Marine Fisheries in 

writing within 30 days of the completion of 


861


spill clean-up on the circumstances associated 

with each spill and costs of its clean-up. 

History Note: Authority G.S. 113-134; 113-182; 113-221.1; 

143B-289.52; 



15A NCAC 03J .0202 ATLANTIC OCEAN 

In the Atlantic Ocean: 

(1) It is unlawful to use nets from June 15 through 

August 15 in the waters of Masonboro Inlet or 

in the ocean within 300 yards of the beach 

between Masonboro Inlet and a line running 

southeasterly through the water tank 34° 

13.1500'N - 77° 47.300' W on the northern end 

of Wrightsville Beach, a distance of 4400 

yards parallel with the beach. 

(2) It is unlawful to use trawls within one-half 

mile of the beach between the Virginia line 

and Oregon Inlet. 

(3) It is unlawful to use a trawl with a mesh length 

less than four inches in the main body, three 

inches in the extension, and one and 

three-fourths inches in the cod end or tail bag 

inshore of a line beginning on the western side 

of Beaufort Inlet Channel at a point 34° 

41.3000' N - 76° 40.1333' W; running westerly 

parallel to and one-half miles from the shore 

off Salter Path to a point 34° 40.5333' N - 76° 

53.7500' W. 

(4) It is unlawful to use trawl nets, including 

flynets, southwest of the 9960-Y chain 40250 

LORAN C line (running offshore in a 

southeasterly direction) from Cape Hatteras to 

the North Carolina/South Carolina line except: 

(A) Shrimp trawls as defined in 15A 

NCAC 03L .0103; 

(B) Crab trawls as defined in 15A NCAC 

03L .0202; or 

(C) Flounder trawls as defined in 15A 

NCAC 03M .0503. 

(5) It is unlawful to possess finfish (including 

pursuant to 15A NCAC 03M .0102) incidental 

to shrimp or crab trawl operations from 

December 1 through March 31 unless the 

weight of the combined catch of shrimp and 

crabs exceeds the weight of finfish, except an 

additional 300 pounds of kingfish 

(Menticirrhus, spp.) may be taken south of 

Bogue Inlet. 

(6) It is unlawful to use unattended gill nets or 

block or stop nets in the Atlantic Ocean within 

300 yards of the beach from Beaufort Inlet to 

the South Carolina line from sunset Friday to 

sunrise Monday from Memorial Day through 

Labor Day. 

(7) It is unlawful to use gill nets in the Atlantic 

Ocean with a mesh length greater than seven 

inches from April 15 through December 15. 

(8) It is unlawful to use shrimp trawls in all waters 

west of a line beginning at the southeastern tip 

of Baldhead Island at a point 33° 50.4833' N - 

77° 57.4667' W; running southerly in the 

Atlantic Ocean to a point 33° 46.2667' N - 77° 

56.4000' W; from 9:00 P.M. through 5:00 

A.M. 


143B-289.52; 


Amended Eff. March 1, 1996; September 1, 1991; 

Temporary Amendment Eff. December 1, 1997; 

Amended Eff. October 1, 2008; August 1, 2004; August 1, 1998. 

15A NCAC 03K .0101 PROHIBITED SHELLFISH 

AREAS/ACTIVITIES 

(a) It is unlawful to possess, sell, or take oysters, clams or 

mussels from areas which have been designated as prohibited 

(polluted) by proclamation by the Fisheries Director except as 

provided in 15A NCAC 03K .0103, .0104, .0107, and .0401. 

The Fisheries Director shall issue such proclamations upon 

notice by the Division of Environmental Health that duly 

adopted criteria for approved shellfish harvest areas have not 

been met. The Fisheries Director may reopen any such closed 

area upon notification from the Division of Environmental 

Health that duly adopted criteria for approved shellfish harvest 

areas have been met. Copies of these proclamations and maps of 

these areas are available upon request at the Division of Marine 

Fisheries, 3441 Arendell St., Morehead City, NC 28557; (252) 

726-7021. 

(b) The Fisheries Director may, by proclamation, close areas to 

the taking of oysters, clams, scallops and mussels in order to 

protect the shellfish populations for management purposes or for 

public health purposes not specified in Paragraph (a) of this 

Rule. 

(c) It is unlawful to possess or sell oysters, clams, or mussels 

taken from polluted waters outside North Carolina. 

History Note: Authority G.S. 113-134; 113-168.5; 113- 

169.2; 113-182; 113-221; 113-221.1; 143B-289.52; 







15A NCAC 03K .0102 PROHIBITED RAKES 

It is unlawful to use a rake more than 12 inches wide or 

weighing more than six pounds to take: 

(1) oysters or scallops; 

(2) clams in any live oyster bed, in any established 

bed of submerged aquatic vegetation as 

described in 15A NCAC 03I .0101, or in any 


862


established bed of salt water cordgrass 

(Spartina alterniflora). 


143B-289.52; 


Amended Eff. October 1, 2008; February 1, 2008. 

15A NCAC 03K .0103 SHELLFISH MANAGEMENT 

AREAS 

(a) The Fisheries Director may, by proclamation, designate 

Shellfish Management Areas which meet either of the following 

criteria. The area has: 

(1) conditions of bottom type, salinity, currents, 

cover or cultch necessary for shellfish growth; 

(2) shellfish populations or shellfish enhancement 

projects that may: 

(A) produce commercial quantities of 

shellfish at 10 bushels or more per 

acre; 

(B) produce shellfish suitable for 

transplanting as seed or for relaying 

(C) 

from prohibited (polluted) areas; or 

serve as sanctuaries to increase 

spawning and disease resistance or to 

prevent predation. 

(b) It is unlawful to use a trawl net, long haul seine, or swipe net 

in any designated Shellfish or Seed Management area. These 

areas shall be marked with signs or buoys. Unmarked and 

undesignated tributaries shall be the same designation as the 

designated waters to which they connect or into which they flow. 

No unauthorized removal or relocation of any such marker shall 

have the effect of changing the designation of any such body of 

water or portion thereof, nor shall any such unauthorized 

removal or relocation or the absence of any marker affect the 

applicability of any rule pertaining to any such body of water or 

portion thereof. 

(c) It is unlawful to take shellfish from any Shellfish 

Management Area which has been closed and posted, except that 

the Fisheries Director may, by proclamation, open specific areas 

to allow the taking of shellfish and may designate time, place, 

character, or dimensions of any method or equipment that may 

be employed. 

History Note: Authority G.S. 113-134; 113-182; 113-221; 

113.221.1; 143B-289.52; 


Amended Eff. March 1, 1994; 


Amended Eff. October 1, 2008; February 1, 2008; April 1, 2003. 

15A NCAC 03K .0105 RECREATIONAL HARVEST OF 

SHELLFISH 

(a) It is unlawful to take oysters or clams from public bottoms 

on Sundays, and scallops from public bottoms on Saturdays and 

Sundays except: 

(1) during open seasons, and 

(2) for recreational purposes. 

(b) It is unlawful to possess, for recreational purposes, more 

than: 

(1) 10 conchs or whelks per person per day, not to 

exceed 20 conchs or whelks per vessel per 

day, and 

(2) 100 mussels per person per day, not to exceed 

200 mussels per vessel per day, and 

(3) 100 clams per person per day, not to exceed 

200 clams per vessel per day. 

History Note: Authority G.S. 113-134; 113-169.2; 113-182; 

143B-289.52; 


Amended Eff. March 1, 1994; February 1, 1992; September 1, 

1991; 

Temporary Amendment Eff. October 9, 1995 for a period of 180 

days or until the permanent rule becomes effective, whichever is 

sooner; 

Amended Eff. May 1, 1997; March 1, 1996; 



15A NCAC 03K .0106 TAKING OR UNLOADING 

OYSTERS AND CLAMS ON SUNDAY OR AT NIGHT 

(a) It is unlawful to take oysters or clams between the hours of 

sunset and sunrise on any day. 

(b) It is unlawful to unload oysters or clams from any vessel or 

remove any vessel containing oysters or clams from the water on 

Sunday or between sunset and sunrise on any day except that in 

New Hanover, Pender and Brunswick Counties, oysters and 

clams may be unloaded until two hours after sunset. 

(c) Oysters and clams taken on Sunday from public bottom 

under the provisions of 15A NCAC 03K .0105 or from shellfish 

leases and franchises pursuant to G.S. 113-208 are exempt from 

Paragraph (b) of this Rule. 

History Note: Authority G.S. 113-134; 113-182; 143B- 

289.52; 




15A NCAC 03K .0107 DEPURATION OF SHELLFISH 

(a) It is unlawful to take clams or oysters from the public or 

private prohibited (polluted) waters of the state for the purpose 

of depuration except when the harvest will utilize shellfish that 

would otherwise be destroyed in maintenance dredging 

operations. All harvest and transport activities within the State 

of North Carolina related to depuration shall be under the 

supervision of the Division of Marine Fisheries or the Division 

of Environmental Health. For the purpose of this Rule, the term 

depuration does not include relaying of clams or oysters from 

shellfish leases or franchises as authorized by 15A NCAC 03K 

.0104. 

(b) The Fisheries Director, may, by proclamation, impose any or 

all of the following restrictions on the harvest of clams or oysters 

for depuration: 

(1) Specify species; 


863


(2) Specify areas except harvest will not be 

allowed from designated buffer zones adjacent 

to sewage outfall facilities; 

(3) Specify harvest days; 

(4) Specify time period; 

(5) Specify quantity or size; 

(6) Specify harvest methods; 

(7) Specify record keeping requirements. 

(c) Depuration permits: 

(1) It is unlawful for individuals to harvest clams 

or oysters from prohibited (polluted) waters 

for the purpose of depuration unless they have 

obtained a Depuration Permit or are listed as 

designees on a Depuration Permit from the 

Division of Marine Fisheries and Division of 

Environmental Health setting forth the method 

of harvest to be employed. Permits shall be 

issued to licensed North Carolina Clam or 

Oyster Dealers only. Permittees and designees 

harvesting under Depuration Permits must 

have a current Shellfish License or Shellfish 

Endorsement on a Standard or Retired 

Standard Commercial Fishing License. 

(2) In addition to information required in 15A 

NCAC 03O .0501, the permit application shall 

provide the name, address, location and 

telephone number of the depuration operation 

where the shellfish will be depurated. 

(3) Clam or Oyster Dealers desiring to obtain 

prohibited (polluted) clams or oysters for 

depuration shall apply for a depuration permit 

at least 15 days prior to initiation of operation. 

(d) Transport of clams or oysters for depuration: 

(1) Clams or oysters harvested from prohibited 

(polluted) waters for depuration in a 

depuration operation located within the State 

of North Carolina shall be transported under 

the supervision of the Division of Marine 

Fisheries or the Division of Environmental 

Health. 

(2) Clams or oysters harvested from prohibited 

(polluted) waters for depuration in a 

depuration operation outside the State of North 

Carolina shall not be transported within the 

State of North Carolina except under the 

supervision of the Division of Marine 

Fisheries or the Division of Environmental 

Health. 

(e) It is unlawful to ship clams or oysters harvested for 

depuration to depuration facilities located in a state other than 

North Carolina unless the facility is in compliance with the 

applicable rules and laws of the shellfish control agency of that 

state. 

(f) The procedures and requirements for obtaining permits are 

found in 15A NCAC 03O .0500. 


113-221.1; 143B-289.52; 




15A NCAC 03K .0108 DREDGES/MECHANICAL 

METHODS PROHIBITED 

(a) It unlawful to use mechanical methods, except mechanical 

methods for oystering and clamming defined in 15A NCAC 03I 

.0101, to take shellfish. 

(b) It is unlawful to use mechanical methods for oystering or 

clamming to take shellfish not subject to the restrictions in 15A 

NCAC 03K .0201, .0204, .0302, 0304, .0404, .0501, and .0503: 

(1) within any established bed of submerged 

aquatic vegetation as defined in 15A NCAC 

03I .0101 or salt water cordgrass (Spartina 

alterniflora); 

(2) in areas designated in 15A NCAC 03R .0108, 

except on shellfish leases and franchises with a 

Permit to Use Mechanical Methods for Oysters 

and Clams on Shellfish Leases and Franchises; 

(3) in areas designated in 15A NCAC 03K .0204 

and 03R .0103; and 

(4) except following restrictions for the use of 

mechanical methods specified pursuant to 15A 

NCAC 03J .0303 and 03K .0201, .0302, .0404, 

.0501, and .0503. 


289.52; 


15A NCAC 03K .0109 SHELLFISH HARVESTER AND 

DEALER TAGS 

It is unlawful to possess or sell oysters, clams, or mussels in a 

commercial fishing operation without a harvest tag affixed to 

each container of oysters, clams or mussels. Tags shall be 

affixed by the harvester or dealer and shall meet the following 

criteria: 

(1) Tags shall be identified as harvest tags. They 

shall be durable for at least 90 days, water 

resistant, and a minimum of two and 

five-eighths inches by five and one-fourth 

inches in size. 

(2) Tags shall be securely fastened to the outside 

of each container in which shellstock is 

transported. A harvester or dealer tag shall be 

securely fastened to the outside of each 

container at a dealer location except, bulk 

shipments of shellfish in one container and 

from the same source may have one tag with 

all required information attached. Harvesters 

who are also certified shellfish dealers may 

use only their dealer tag if it contains the 

required information. The required 

information shall be included on all lots of 

shellfish subdivided or combined into market 

grades or market quantities by a harvester or a 

certified shellfish dealer. 

(3) Tags shall be attached to all shellfish stored at 

a dealer location. 


864


(4) Tags shall contain legible information 

arranged in the specific order as follows: 

(a) The harvester's name, address and 

shellfish license or standard or retired 

standard commercial fishing license 

with shellfish endorsement number. 

(b) The date of harvest. 

(c) The most precise description of the 

harvest location as is practicable (e.g., 

Long Bay, Rose Bay) that can be 

easily located by maps and charts. 

(d) Type and quantity of shellfish. 

(e) The following statement in bold, 

capitalized type: "THIS TAG IS 

REQUIRED TO BE ATTACHED 

UNTIL CONTAINER IS EMPTY 

AND THEREAFTER KEPT ON 

FILE FOR 90 DAYS". 


169.2; 113-182; 113-221; 143B-289.52; 


15A NCAC 03K .0201 OPEN SEASON AND 

POSSESSION LIMIT 

It is unlawful to take or possess oysters from public bottoms 

except from October 15 through March 31. The Fisheries 

Director may, by proclamation, close and open the season within 

the time period stated herein or close and open any of the 

various waters to the taking of oysters depending on the need to 

protect small oysters and their habitat, the amount of saleable 

oysters available for harvest, the number of days harvest is 

prevented due to unsatisfactory bacteriological samples and 

weather conditions, and the need to prevent loss of oysters due 

to parasitic infections and thereby reduce the transmission of 

parasites to uninfected oysters or other variable conditions and 

may impose any or all of the following restrictions on 

commercial and recreational oyster harvest: 

(1) Specify days of the week harvesting will be 

allowed; 

(2) Specify areas; 

(3) Specify means and methods which may be 

employed in the taking; 

(4) Specify time period; 

(5) Specify the quantity, but shall not exceed 

possession of more than 50 bushels in a 

commercial fishing operation; and 

(6) Specify the minimum size limit by shell 

length, but not less than 2 1/2 inches. 


113-221; 113-221.1; 143B-289.52; 


Amended Eff. October 1, 2008; March 1, 1996; September 1, 

1991. 

15A NCAC 03K .0208 SEED OYSTER MANAGEMENT 

AREAS 

(a) It is unlawful to take oysters from Seed Oyster Management 

Areas designated in 15A NCAC 03R .0116 for planting on 

shellfish leases or franchises without first obtaining a Permit to 

Transplant Oysters from Seed Oyster Management Areas from 

the Fisheries Director. The procedures and requirements for 

obtaining permits are set forth in 15A NCAC 03O .0501. 

(b) It is unlawful to use a trawl net, long haul seine, or swipe net 

in any designated Seed Oyster Management Area. 


113-221; 143B-289.52; 


15A NCAC 03K .0209 OYSTER SANCTUARIES 

(a) It is unlawful to use a trawl net, long haul seine, or swipe net 

in Oyster Sanctuaries designated in 15A NCAC 03R .0117. 

These areas shall be marked with signs or buoys. Unmarked and 

undesignated tributaries shall be the same designation as the 

designated waters to which they connect or into which they flow. 

No unauthorized removal or relocation of any such marker shall 

have the effect of changing the designation of any such body of 

water or portion thereof, nor shall any such unauthorized 

removal or relocation or the absence of any marker affect the 

applicability of any rule pertaining to any such body of water or 

portion thereof. 

(b) It is unlawful to use mechanical methods for oystering or 

clamming in, or to take oysters or clams from Oyster Sanctuaries 

designated in 15A NCAC 03R .0117. 


113-204; 143B-289.52; 


15A NCAC 03K .0304 PROHIBITED TAKING 

(a) It is unlawful to take clams by any method, other than by 

hand tongs, hand rakes, or by hand, except as provided in 15A 

NCAC 03K .0302 and .0303. Regardless of the areas which 

may be opened, it is unlawful to take clams by hand tongs in any 

established bed of submerged aquatic vegetation as described in 

15A NCAC 03I .0101 or salt water cordgrass (Spartina 

alterniflora). 

(b) It is unlawful to possess clam trawls or cages aboard a vessel 

at any time, or have kick/deflector plates normally used in the 

mechanical harvest of clams affixed to a vessel at any time, 

except during the time period specified for a mechanical clam 

harvest season in internal waters in accordance with 15A NCAC 

03K .0302(a). A period of 14 days before and after the season as 

specified by proclamation will be allowed for the installation and 

removal of kick/deflector plates and clam trawls or cages. 

Vessels with permits for activities provided for in 15A NCAC 

03K .0104, .0107, .0303(a), and .0401 shall be exempt from this 

Rule during the times such activities are permitted. 


143B-289.52; 


Amended Eff. October 1, 2008; February 1, 2008; May 1, 1997; 

July 1, 1993. 


865


15A NCAC 03L .0209 RECREATIONAL HARVEST OF 

CRABS 

It is unlawful to possess more than 50 blue crabs per person per 

day, not to exceed 100 blue crabs per vessel per day, for 

recreational purposes. 


289.52; 


15A NCAC 03M .0102 UNMARKETABLE FINFISH 

(a) It is unlawful to land finfish if in violation of minimum size 

or possession limits established by rule or proclamation. 

(b) It is unlawful to land finfish taken in connection with 

commercial fishing operations which are unmarketable as 

individual finfish by reason of size, except a quantity not 

exceeding 5,000 pounds per vessel per day may be sold to a 

dealer that is licensed under G.S. 113-169.3(f)(6), (7) and (8). 

(c) Menhaden, Atlantic thread herring, gizzard shad, and pinfish 

are exempt from this Rule. 


143B-289.52; 



15A NCAC 03M .0201 GENERAL 

(a) Striped bass is defined as striped bass (Morone saxatilis) and 

its hybrids taken in coastal and joint waters. 

(b) Hook-and-line fishing equipment is not commercial fishing 

equipment in the striped bass fishery. It is unlawful to sell or 

purchase striped bass taken by hook-and-line. Striped bass taken 

legally with hook-and-line may be possessed and transported. 

(c) It is unlawful to possess striped bass imported from other 

states less than 18 inches long (total length). 

(d) It is unlawful to import, buy, sell, transport, offer to buy or 

sell, or possess striped bass except during any: 

(1) open striped bass season established for 

internal coastal waters; 

(2) open striped bass season established for the 

Atlantic Ocean; or 

(3) open striped bass season of another state 

without possession of the following: 

(A) A bill of lading as described in 15A 

NCAC 03I .0114; 

(B) A numbered, state-issued tag from the 

State of origin affixed through the 

mouth and gill cover. This tag must 

remain affixed until processed for 

consumption by the consumer. 

(e) The management units and recreational fishery management 

areas for estuarine striped bass fisheries in coastal North 

Carolina are designated in 15A NCAC 03R .0201. 


143B-289.52; 


Amended Eff. March 1, 1994; September 1, 1991; 


Amended Eff. October 1, 2008; October 1, 2004; April 1, 2001. 

15A NCAC 03M .0204 SEASON, SIZE AND HARVEST 

LIMIT: ATLANTIC OCEAN 

It is unlawful to possess striped bass taken from the Atlantic 

Ocean less than the size limit as determined by the Atlantic 

States Marine Fisheries Commission in their Interstate Fisheries 

Management Plan for striped bass. The Fisheries Director shall 

issue proclamations necessary to bring North Carolina's size 

limit in compliance with the Interstate Fisheries Management 

Plan. 


113-221.1; 143B-289.52; 





15A NCAC 03M .0301 SPANISH AND KING 

MACKEREL 

(a) Spanish Mackerel: 

(1) It is unlawful to possess Spanish mackerel less 

than 12 inches fork length. 

(2) It is unlawful to possess more than 15 Spanish 

mackerel per person per day taken for 


(3) It is unlawful to possess more than 15 Spanish 

mackerel per person per day in the Atlantic 

Ocean beyond three miles in a commercial 

fishing operation except for persons holding a 

valid National Marine Fisheries Service 

Spanish Mackerel Commercial Vessel Permit. 

(b) King mackerel: 

(1) It is unlawful to possess king mackerel less 

than 24 inches fork length. 

(2) It is unlawful to possess more than three king 

mackerel per person per day taken for 


(3) It is unlawful to possess more than three king 

mackerel per person per day in the Atlantic 

Ocean: 

(A) 

(B) 

by hook and line except for persons 

holding a valid National Marine 

Fisheries Service King Mackerel 

Commercial Vessel Permit; or 

between three miles and 200 miles 

from the State's mean low water mark 

in a commercial fishing operation 

except for persons holding a valid 

National Marine Fisheries Service 

King Mackerel Commercial Vessel 

Permit. 

(4) It is unlawful to use gill nets in the Atlantic 

Ocean to take more than three king mackerel 

per person per day south of 34° 37.3000' N 

(Cape Lookout). 

(c) Charter vessels or head boats that hold a valid National 

Marine Fisheries Service Coastal Migratory Pelagic (Charter 


866


Boat and Head Boat) permit must comply with the Spanish 

mackerel and king mackerel possession limits established in 

Subparagraphs (a)(2) and (b)(2) of this Rule when fishing with 

more than three persons (including the captain and mate) on 

board. 

(d) It is unlawful to possess aboard or land from a vessel, or 

combination of vessels that form a single operation, more than 

3,500 pounds of Spanish or king mackerel, in the aggregate, in 

any one day. 


143B-289.52; 



Temporary Amendment Eff. January 1, 2000; July 1, 1999; 

Amended Eff. October 1, 2008; August 1, 2002; April 1, 2001. 

15A NCAC 03M .0401 SEASON AND AREAS 

15A NCAC 03M .0402 FOODFISH PROHIBITED 

15A NCAC 03M .0403 FISHING ON WEEKENDS AND 

HOLIDAYS PROHIBITED 

15A NCAC 03M .0404 FISH SPILL REPORTING 

MANDATORY 


143B-289.52; 


Amended Eff. May 1, 1997; 


15A NCAC 03M .0501 RED DRUM 

(a) It is unlawful to remove red drum from any type of net with 

the aid of any boat hook, gaff, spear, gig, or similar device. 

(b) It is unlawful to possess red drum less than 18 inches total 

length or greater than 27 inches total length. 

(c) It is unlawful to possess more than one red drum per person 

per day taken-by hook-and-line or for recreational purposes. 

(d) The annual commercial harvest limit (September 1 through 

August 31) for red drum is 250,000 pounds. If the harvest limit 

is projected to be taken, the Fisheries Director shall, by 

proclamation, prohibit possession of red drum taken in a 

commercial fishing operation. 


113-221.1; 143B-289.52; 


Amended Eff. March 1, 1996; October 1, 1992; September 1, 

1991; 

Temporary Amendment Eff. May 1, 2000; July 1, 1999; October 

22, 1998; 

Amended Eff. April 1, 2001; 



15A NCAC 03M .0504 TROUT 

(a) It is unlawful to possess spotted seatrout (speckled trout) less 

than 12 inches total length. 

(b) It is unlawful to possess more than 10 spotted seatrout per 

person per day taken by hook-and-line or for recreational 

purposes. 


143B-289.52; 


Amended Eff. March 1, 1996; March 1, 1995; February 1, 1992; 

Temporary Amendment Eff. September 9, 1996; 





15A NCAC 03M .0505 

SHARK 


143B-289.4; 


Amended Eff. September 1, 1991; 


15A NCAC 03M .0506 SNAPPER-GROUPER 

COMPLEX 

(a) In the Atlantic Ocean, it is unlawful for an individual fishing 

under a Recreational Commercial Gear License with seines, 

shrimp trawls, pots, trotlines or gill nets to take any species of 

the Snapper-Grouper complex. 

(b) The species of the snapper-grouper complex listed in the 

South Atlantic Fishery Management Council Fishery 

Management Plan for the Snapper-Grouper Fishery of the South 

Atlantic Region are hereby incorporated by reference and copies 

are available via the Federal Register posted on the Internet at 

www.safmc.net and at the Division of Marine Fisheries, P.O. 

Box 769, Morehead City, North Carolina 28557 at no cost. 


143B-289.52; 


Amended Eff. April 1, 1997; March 1, 1996; September 1, 1991; 

Temporary Amendment Eff. December 23, 1996; 

Amended Eff. August 1, 1998; April 1, 1997; 

Temporary Amendment Eff. January 1, 2002; August 29, 2000; 

January 1, 2000; May 24, 1999; 

Amended Eff. October 1, 2008; May 1, 2004; July 1, 2003; April 

1, 2003; August 1, 2002. 

15A NCAC 03M .0511 BLUEFISH 

It is unlawful to possess more than 15 bluefish per person per 

day for recreational purposes. Of these 15 bluefish, it is 

unlawful to possess more than five bluefish that are greater than 

24 inches total length. 


143B-289.52; 

Eff. March 1, 1994; 


Temporary Amendment Eff. September 9, 1996; 




867


Amended Eff. October 1, 2008; April 1, 2003; August 1, 2000. 

15A NCAC 03M .0512 COMPLIANCE WITH FISHERY 

MANAGEMENT PLANS 

(a) In order to comply with management requirements 

incorporated in Federal Fishery Management Council 

Management Plans or Atlantic States Marine Fisheries 

Commission Management Plans or to implement state 

management measures, the Fisheries Director may, by 

proclamation, take any or all of the following actions for species 

listed in the Interjurisdictional Fisheries Management Plan: 

(1) Specify size; 

(2) Specify seasons; 

(3) Specify areas; 

(4) Specify quantity; 

(5) Specify means and methods; and 

(6) Require submission of statistical and 

biological data. 

(b) Proclamations issued under this Rule shall be subject to 

approval, cancellation, or modification by the Marine Fisheries 

Commission at its next regularly scheduled meeting or an 

emergency meeting held pursuant to G.S. 113-221.1. 


113-221.1; 143B-289.4; 



15A NCAC 03M .0513 RIVER HERRING 

It is unlawful to possess river herring taken from coastal fishing 

waters unless the river herring season is open. 


143B-289.52; 



Temporary Amendment Eff. May 1, 2000; August 1, 1999; July 

1, 1999; March 1, 1999; 

Amended Eff. October 1, 2008; December 1, 2007; April 1, 

2001. 

15A NCAC 03M .0514 

SCUP 


143B-289.4; 

Temporary Adoption Eff. December 23, 1996; 

Eff. July 1, 1998; 


15A NCAC 03M .0518 KINGFISH (SEA MULLET) 

The Fisheries Director may, by proclamation, impose any or all 

of the following restrictions on the taking of kingfishes: 

(1) Specify season, 

(2) Specify areas, 

(3) Specify quantity, 

(4) Specify means and methods, 

(5) Specify size. 


143B-289.4; 


15A NCAC 03M .0519 SHAD 

(a) It is unlawful to take American shad and hickory shad by 

any method except hook-and-line from April 15 through 

December 31. 

(b) It is unlawful to possess more than 10 American shad or 

hickory shad, in the aggregate, per person per day taken by 

hook-and-line or for recreational purposes. 


143B-289.4; 


15A NCAC 03M .0520 TUNA 

(a) It is unlawful to possess in a commercial fishing operation: 

(1) Yellowfin tuna less than 27 inches curved fork 

length. 

(2) Bigeye tuna less than 27 inches curved fork 

length. 

(3) Bluefin tuna less than 73 inches curved fork 

length. 

(b) It is unlawful to possess for recreational purposes: 

(1) Yellowfin tuna less than 27 inches curved fork 

length. 

(2) Bigeye tuna less than 27 inches curved fork 

length. 

(3) More than three yellowfin tuna per person per 

day. 

History Note: Authority G.S. 113-134; 113-182; 143B-289.4; 


15A NCAC 03O .0201 STANDARDS FOR SHELLFISH 

BOTTOM AND WATER COLUMN LEASES 

(a) All areas of the public bottoms underlying coastal fishing 

waters shall meet the following standards in addition to the 

standards in G.S. 113-202 in order to be deemed suitable for 

leasing for shellfish cultivation purposes: 

(1) The lease area must not contain a natural 

shellfish bed which is defined as 10 bushels or 

more of shellfish per acre. 

(2) The lease area must not be closer than 100 feet 

to a developed shoreline, except no minimum 

setback is required when the area to be leased 

borders the applicant's property or the property 

of riparian owners who have consented in a 

notarized statement. In an area bordered by 

undeveloped shoreline, no minimum setback is 

required. 

(3) The proposed lease area shall not be less than 

one-half acre and shall not exceed five acres 

for all areas except those areas open to the 

mechanical harvest of oysters where proposed 

lease area shall not exceed 10 acres. 

This Subparagraph shall not be applied to reduce any 

holdings as of July 1, 1983. 


868


(b) Persons holding five or more acres under shellfish lease or 

franchise shall meet the standards established in Paragraph (c) of 

this Rule prior to acceptance of applications for additional 

shellfish lease acreage. 

(c) Franchises recognized pursuant to G.S. 113-206 and 

shellfish bottom leases shall meet the following standards in 

addition to the standards in G.S. 113-202. In order to avoid 

termination, franchises and shellfish bottom leases shall: 

(1) Produce and market 10 bushels of shellfish per 

acre per year; and 

(2) Plant 25 bushels of seed shellfish per acre per 

year or 50 bushels of cultch per acre per year, 

or a combination of cultch and seed shellfish 

where the percentage of required cultch 

planted and the percentage of required seed 

shellfish planted totals at least 100 percent. 

(d) The following standards shall be applied to determine 

compliance with Subparagraphs (1) and (2) of Paragraph (c) of 

this Rule: 

(1) Only shellfish planted, produced or marketed 

according to the definitions in 15A NCAC 03I 

.0101 shall be submitted on 

production/utilization forms for shellfish 

leases and franchises. 

(2) If more than one shellfish lease or franchise is 

used in the production of shellfish, one of the 

leases or franchises used in the production of 

the shellfish must be designated as the 

producing lease or franchise for those 

shellfish. Each bushel of shellfish may be 

produced by only one shellfish lease or 

franchise. Shellfish transplanted between 

leases or franchises may be credited as 

planting effort on only one lease or franchise. 

(3) Production and marketing information and 

planting effort information shall be compiled 

and averaged separately to assess compliance 

with the standards. The lease or franchise 

must meet the production requirement and the 

planting effort requirement within the dates set 

forth to be judged in compliance with these 

standards. 

(4) In determining production and marketing 

averages and planting effort averages for 

information not reported in bushel 

measurements, the following conversion 

factors shall be used: 

(A) 300 oysters, 400 clams, or 400 

scallops equal one bushel; and 

(B) 

40 pounds of scallop shell, 60 pounds 

of oyster shell, 75 pounds of clam 

shell and 90 pounds of fossil stone 

equal one bushel. 

(5) In the event that a portion of an existing lease 

or franchise is obtained by a new owner, the 

production history for the portion obtained 

shall be a percentage of the originating lease or 

franchise production equal to the percentage of 

the area of lease or franchise site obtained to 

the area of the originating lease or franchise. 

(6) The production and marketing rates shall be 

averaged: 

(A) over the consecutive full calendar 

years remaining on the lease contract 

after December 31 following the 

second anniversary of initial bottom 

leases and franchises. 

(B) over the consecutive full calendar 

years beginning January 1 of the final 

year of the previous lease term and 

ending December 31 of the final year 

of the current lease contract for 

renewal leases. 

(C) 

over the first five year period for 

initial water column leases and over 

the most recent five year period 

thereafter for renewal water column 

leases. 

Production and marketing rate averages shall 

be computed irrespective of transfer of the 

shellfish lease or franchise. 

(7) All bushel measurements shall be in U.S. 

Standard Bushels. 

(e) Water columns superjacent to leased bottoms shall meet the 

standards in G.S. 113-202.1 in order to be deemed suitable for 

leasing for aquaculture purposes. 

(f) Water columns superjacent to franchises recognized pursuant 

to G.S. 113-206 shall meet the standards in G.S. 113-202.2 in 

order to be deemed suitable for leasing for aquaculture purposes. 

(g) Water column leases must produce and market 40 bushels of 

shellfish per acre per year to meet the minimum commercial 

production requirement or plant 100 bushels of cultch or seed 

shellfish per acre per year to meet commercial production by 

planting effort. The standards for determining production and 

marketing averages and planting effort averages shall be the 

same for water column leases as for bottom leases and franchises 

set forth in Paragraph (d) of this Rule except that either the 

produce and market requirement or the planting requirement 

must be met. 


113-202.1; 113-202.2; 143B-289.52; 


Amended Eff. May 1, 1997; March 1, 1995; March 1, 1994; 

September 1, 1991; 



15A NCAC 03O .0203 SHELLFISH LEASE 

APPLICATION PROCESSING 

(a) Upon acceptance of a completed application, the proposed 

lease area shall be inspected by agents of the Division. Proposed 

lease areas inconsistent with applicable standards contained or 

referenced in 15A NCAC 3O .0201 shall result in the return of 

applications for amendment to remove the inconsistencies. If 

the boundaries of the proposed lease area are modified, the 

stakes identifying such areas shall be relocated accordingly by 


869


the applicant. The failure of applicants to amend applications or 

modify lease area identification, when required, shall result in 

denial of such applications. 

(b) If the initial or amended lease application is deemed 

consistent with all applicable requirements, the Secretary or his 

designee shall notify the applicant and publish notices of 

intention to lease in accordance with standards in G.S. 

113-202(f). 

(c) The Secretary shall consider the lease application, the 

Division's proposed lease area analysis, and public comments, 

and may in his discretion lease or decline to lease the proposed 

lease area or any part thereof. Special conditions may be 

imposed so that leases may be issued which would otherwise be 

denied. Should an applicant decide not to accept any special 

condition imposed on the lease by the Secretary, the application 

shall be considered denied. 

(d) Upon approval of leases by the Secretary, applicants shall 

mark the shellfish bottom leases in accordance with 15A NCAC 

3O .0204(a)(1), water column leases in accordance with 15A 

NCAC 3O .0204(a)(2), and shall within 90 days submit to the 

Division acceptable surveys of the areas approved for leasing 

except that a water column lease which entirely covers a 

shellfish bottom lease or franchise with an accepted survey on 

file does not require another survey. Such surveys shall be made 

at the expense of applicants and must meet the following 

standards: 

(1) Surveys and maps shall meet all the 

requirements of 21 NCAC 56 .1600, Standards 

of Practice for Land Surveying in North 

Carolina, which is hereby incorporated by 

reference including subsequent amendments 

and editions. This material is available for 

inspection and copies may be obtained from 

the Marine Fisheries Division, Marine 

Fisheries Building, 3441 Arendell St., P.O. 

Box 769, Morehead City, North Carolina 

28557, at no cost. 

(2) Maps shall bear the certificate: 

"I _________________________ certify that 

this map was (drawn by me) (drawn under my 

supervision) from (an actual survey made by 

me) (an actual survey made under my 

supervision); that the error of closure as 

calculated by latitudes and departures is 1: 

_____________, that the area is ___________ 

acres. Witness my hand and seal this 

____________ day of __________ AD 

________." 

____________________Surveyor or Engineer 

(3) The phrase "other appropriate natural 

monuments or landmarks" in 21 NCAC 56 

.1604(e)(9) shall include bridges, roads, 

highways, intersections, publicly maintained 

aids to navigation, houses and other permanent 

buildings, radio, telephone, TV, and water 

towers; docks; piers, and bulkheads; but does 

not include stakes marking the boundaries of 

adjoining leases, points of marsh, junctions of 

streams, or other landmarks which are 

particularly subject to change through natural 

processes, storms, or the effect of man. 

(4) A written description of the survey suitable for 

official documents shall be provided with the 

survey. 

(5) Locations of all corner markers in latitude and 

longitude shall be provided with the survey 

and presented in an eight digit format. The 

relative accuracy of the corner marker 

locations shall be equal to or less than two 

meters. Information on the method of 

measurement, make and model of equipment, 

and coordinate system used to determine the 

latitude and longitude shall be included. 

(e) Proposed shellfish bottom lease areas remain public bottom 

until a lease contract has been executed by the Secretary. 

(f) Proposed water column lease areas superjacent to shellfish 

bottom leases and recognized perpetual franchises remain public 

water until a lease contract has been executed by the Secretary. 


113-202; 113-202.1; 113-202.2; 143B-289.52; 


Amended Eff. October 1, 2008; March 1, 1994; September 1, 

1991. 

15A NCAC 03O .0210 SHELLFISH FRANCHISES 

(a) The resolution of claims filed under G.S. 113-205 is 

governed by standards in Departmental Rules 15A NCAC 1G 

.0200 and .0300. Following receipt of notification that a claim 

has a valid chain of title, the owner shall provide to the Division 

within 90 days a survey prepared in accordance with the 

standards in 15A NCAC 03O .0203(d). Failure to provide the 

required survey within the time period specified will result in 

denial of the claim. 

(b) Acceptable management plans, prepared in accordance with 

the standards in 15A NCAC 03O .0202(b), shall be provided to 

the Division within 30 days following formal recognition of a 

valid chain of title and at ten-year intervals thereafter. 

(c) The survey and management plan requirements in 

Paragraphs (a) and (b) of this Rule, and all other requirements 

and conditions of this Section affecting management of 

franchises, shall apply to all valid shellfish franchises recognized 

prior to September 1, 1989. 

(d) Commercial production requirements for franchises shall be 

identical to that required for leases in 15A NCAC 03O 

.0201(c)averaged over the most recent three-year period after 

January 1 following the second anniversary of the dates of 

recognition of claims as valid shellfish franchises and continuing 

throughout the term of management plans required in Paragraph 

(b) of this Rule. Annual reporting of commercial production 

shall be submitted upon receipt of forms provided by the 

Division for that purpose. 


113-205; 143B-289.52; 




870


15A NCAC 03O .0402 APPLICATION PROCESS 

(a) Application forms for determination of eligibility for the 

Standard Commercial Fishing Licenses Eligibility Pool shall be 

available at all offices of the Division of Marine Fisheries and 

must be submitted to the Morehead City Office of the Division 

of Marine Fisheries for processing. 

(b) Only one application per individual for determination of 

eligibility for the Standard Commercial Fishing Licenses 

Eligibility Pool shall be accepted or may be pending at any one 

time. An applicant may have only one entry in the eligibility 

pool at any one time. 

(c) Individuals who currently hold or are eligible to purchase a 

Standard or Retired Standard Commercial Fishing License shall 

not be eligible to apply for additional Standard Commercial 

Fishing Licenses through the Standard Commercial Fishing 

Licenses Eligibility Pool. 

(d) If an applicant has died or becomes ineligible and is 

subsequently selected from the eligibility pool, that license 

eligibility shall automatically revert to the eligibility pool. 

(e) Persons claiming retirement from commercial fishing or 

transferring their Standard Commercial Fishing License may not 

apply for pool eligibility for two years from the date of the last 

transfer except as provided in 15A NCAC 03O .0404(3). 

(f) Applicants shall notify the Division of Marine Fisheries 

within 30 days of a change of address. 

History Note: Authority G.S. 113-134; 143B-289.52; S.L. 

1998-225, s. 4:24; 

Temporary Adoption Eff. April 1, 1999; 

Eff. August 1, 2000; 


15A NCAC 03O .0404 ELIGIBILITY CRITERIA 

In determining eligibility of an application for the Standard 

Commercial Fishing License Eligibility Pool, the Eligibility 

Board shall apply the following criteria: 

(1) Involvement in Commercial Fishing: 

(a) Significant involvement in the 

commercial fishing industry for three 

of the last five years; or 

(b) Significant involvement in 

commercial fishing or in the 

commercial fishing industry prior to 

the last five years; or 

(c) In the case of an applicant who is 

under 16 years of age, significant 

involvement in commercial fishing 

for two out of the last five years with 

a parent, legal guardian, grandparent 

or other adult; or 

(d) Significant involvement of the 

applicant's family in commercial 

fishing. For the purpose of this Subitem, 

family shall include mother, 

father, brother, sister, spouse, 

children, grandparents or legal 

guardian. 

For the purposes of this Rule, significant 

involvement means persons or corporations 

who are engaged in the actual taking of fish 

for sale, from the waters of the State, or other 

states, jurisdictions, or federal waters, or any 

licensed dealer or the dealer's employees who 

purchases fish at the point of landing. 

Significant involvement does not include 

activities such as those who transport fish from 

the point of landing; those who sell or make 

commercial or recreational fishing gear; those 

who operate bait and tackle shops unless they 

are engaged in the actual taking of bait for 

sale; or those who work in fish markets or crab 

picking operations. 

(2) Compliance with Applicable Laws and 

Regulations: 

(a) 

The applicant shall not have any 

licenses, endorsements or commercial 

fishing vessel registrations issued by 

the Division of Marine Fisheries or 

the right to hold such under 

suspension or revocation at the time 

of application or during the eligibility 

review; or 

(b) If selected for the Standard 

Commercial Fishing License 

Eligibility Pool, the applicant shall 

become ineligible for the Standard 

Commercial Fishing License 

Eligibility Pool if any licenses, 

endorsements or registrations or the 

right to hold such issued by the 

Division of Marine Fisheries are 

suspended or revoked; or 

(c) 

Four convictions within the last three 

years or the number of convictions 

which would cause suspension or 

revocation of license, endorsement, or 

registration within the last three years 

shall result in the application being 

denied; or 

(d) A record of habitual violations 

evidenced by eight or more 

convictions in the last 10 years shall 

result in the application being denied. 

For purposes of eligibility for the Standard 

Commercial Fishing License Eligibility Pool, 

the term convictions shall include but not be 

limited to any conviction for violation of any 

provision of Chapter 113 of the North Carolina 

General Statutes and any rule implementing or 

authorized by such statutes; any conviction for 

violation of G.S. 76-40 and any rule 

implementing or authorized by such statute; 

any conviction of Chapter 75A of the North 

Carolina General Statutes and any rule 

implementing or authorized by such statutes; 

any conviction for violation of any provision 

of Article 7 of Chapter 143B of the North 

Carolina General Statutes and any rule 


871


implementing or authorized by such statutes; 

any conviction of resist, obstruct, or delay 

involving a Marine Patrol Officer or Wildlife 

Officer under G.S. 14-223; and any conviction 

involving assaultive behavior toward a Marine 

Patrol Officer or other governmental official of 

the Department of Environment and Natural 

Resources or the Wildlife Commission. 

Applicants for the Standard Commercial 

Fishing License Eligibility Pool must provide 

certification that the applicant does not have 

four or more marine or estuarine resource 

violations during the previous three years. 

(3) The responsible party shall not have 

transferred a Standard Commercial Fishing 

License granted by the Eligibility Board. 

(4) All applicants for the Standard Commercial 

Fishing License Eligibility Pool must meet all 

other statutory eligibility requirements for the 

Standard Commercial Fishing License. 


168.2; 143B-289.52; S.L. 1998-225, s. 4.24; 

Temporary Adoption Eff. April 1, 1999; 



15A NCAC 03R .0116 DESIGNATED SEED OYSTER 

MANAGEMENT AREAS 

The Seed Oyster Management Areas referenced in 15A NCAC 

03K .0208 are delineated in the following coastal water areas: 

(1) Croatan Sound and tributaries: Cedar Bush 

Bay Seed Oyster Management Area, within 

the area described by a line beginning at a 

point 35° 50.0383' N - 75° 40.0712' W; 

running easterly to a point 35° 50.2328' N - 

75° 39.4930' W; running southeasterly to a 

point 35° 49.3831' N - 75° 39.1521' W; 

running southwesterly to a point 35° 48.8000' 

N - 75° 39.5000' W; running westerly to a 

point 35° 48.6333' N - 75° 40.7000' W; 

running northerly to a point 35° 49.7000' N - 

75° 40.6333' W; running northeasterly back to 

the point of beginning; 

(2) Croatan and Roanoke sounds and tributaries: 

Wanchese Marshes Seed Oyster Management 

Area, within an area described by a line 

beginning at a point 35° 49.0000' N - 75° 

38.3000' W; running northerly to a point 35° 

49.2243' N - 75° 38.3000' W; running easterly 

to a point 35° 49.0806' N - 75° 37.5293' W; 

running easterly to a point 35° 49.2893' N - 

75° 37.0335' W; running northeasterly to point 

35° 49.5541' N - 75° 36.9715' W; running 

southerly to a point 35° 49.0000' N - 75° 

36.5500' W; running southwesterly to a point 

35° 48.1500' N - 75° 36.9500' W; running 

westerly to a point 35° 48.1000' N - 75° 

37.6333' W; running northwesterly to the point 

of beginning; 

(3) Pamlico Sound and tributaries: Bay River Seed 

Oyster Management Area, within an area 

described by a line beginning at a point 35º 

10.7670' N - 76º 36.7000' W off Spencer 

Point; running southeasterly to a point 35º 

10.5330' N - 76º 36.4670' W; running westerly 

to a point 35º 10.4670' N - 76º 36.6500' W; 

running northwesterly to a point 35º 10.8000' 

N - 76º 36.9170' W, running easterly to the 

point of beginning; 

(4) White Oak River: White Oak River Seed 

Oyster Management Area, within an area 

described by a line beginning at a point 34º 

43.0774' N - 77º 06.8610' W on the White Oak 

River/Stevens Creek polluted area line; 

running northeasterly to a point 34º 43.4006' N 

- 77º 06.1293' W on the east shore; running 

southerly along the shoreline to a point 34º 

43.0755' N - 77º 06.1187' W; running 

southwesterly to a point 34º 42.8800' N - 77º 

06.7975' W on the White Oak River/Stevens 

Creek polluted area line; running northerly to 

the point of beginning; 

(5) Topsail Sound and tributaries: 

(a) Virginia Creek Seed Oyster 

Management Area, within an area 

described by a line beginning at a 

point 34º 25.4620' N - 77º 36.0074' W 

on the north shore; running southerly 

to a point 34º 25.1346' N - 77º 

36.0640' W on the south shore; 

running easterly and southerly along 

the shoreline to a point 34º 24.9438' 

N - 77º 35.5325' W on Sloop Point; 

running northeasterly to a point 34º 

25.0988' N - 77º 35.2920' W on the 

north shore; running northwesterly 

along the shoreline to the point of 

beginning; 

(b) Topsail Sound Seed Oyster 

Management Area, within an area 


point 34º 24.6555' N - 77º 35.6012' W 

across the IWW from Sloop Point; 

running southeasterly to a point 34º 

24.3677' N - 77º 35.2015' W; running 

northeasterly to a point 34º 24.5260' 

N - 77º 35.1070' W; running 

northwesterly to a point 34º 24.8690' 

N - 77º 35.2872' W; running 

southwesterly to the point of 

beginning. 


113-204; 143B-289.52; 



872


15A NCAC 03R .0117 OYSTER SANCTUARIES 

The Oyster Sanctuaries referenced in 15A NCAC 03K .0209 are 

delineated in the following coastal water areas: 

(1) Croatan Sound area: within the area described 

by a line beginning at a point 35° 48.2842' N - 

75° 38.4575' W; running westerly to a point 

35° 48.2842' N - 75° 38.3360' W; running 


38.3360' W; running easterly to a point 35° 

48.1918' N - 75° 38.4575' W; running 

northerly to the point of beginning. 

(2) Pamlico Sound area: 

(a) Crab Hole: within the area described 

by a line beginning at a point 35° 

43.6833' N - 75° 40.7500' W; running 

westerly to a point 35° 43.6833' N - 

75° 40.5083' W; running southerly to 

a point 35° 43.5000' N - 75° 40.5083' 

W; running easterly to a point 35° 

43.5000' N - 75° 40.7500' W; running 


(b) Deep Bay: within the area described 


22.9126' N - 75° 22.1612' W; running 



a point 35° 22.7717' N - 75° 22.1612' 


22.7717' N - 75° 22.3377' W; running 


(c) Bluff Point: within the area described 


18.3000' N - 76° 10.2760' W; running 



a point 35° 18.1460' N - 76° 10.0890' 


18.1460' N - 76° 10.2760' W; running 


(d) Clam Shoal: within the area described 


17.4784' N - 75° 37.4173' W; running 



a point 35° 17.1873' N - 75° 37.1826' 


17.1873' N - 75° 37.4173' W; running 


(e) Middle Bay: within the area 


point 35° 14.1580' N - 76° 30.3320' 

W; running westerly to a point 35° 

14.1580' N - 76° 30.1780' W; running 

southerly to a point 35° 14.1150' N - 

76° 30.1780' W; running easterly to a 

point 35° 14.1150' N - 76° 30.3320' 

W; running northerly to the point of 

beginning. 

(f) Ocracoke area: within the area 


point 35° 10.8150' N - 75° 59.8530' 

W; running westerly to a point 35° 

10.8150' N - 75° 59.6320' W; running 

southerly to a point 35° 10.6320' N - 

75° 59.6320' W; running easterly to a 

point 35° 10.6320' N - 75° 59.8530' 

W; running northerly to the point of 

beginning. 

(g) 

West Bay: within the area described 


58.8517' N - 76° 21.4735' W; running 



a point 34° 58.7661' N - 76° 21.3632' 


58.7661' N - 76° 21.4735' W; running 


(3) Neuse River: within the area described by a 

line beginning at a point 35° 00.4742' N - 76° 

32.0550' W; running westerly to a point 35° 

00.4742' N - 76° 31.9550' W; running 


31.9550' W; running easterly to a point 35° 

00.3920' N - 76° 32.0550' W; running 



113-204; 143B-289.52; 


TITLE 21 – OCCUPATIONAL LICENSING BOARDS AND 

COMMISSIONS 

CHAPTER 30 - NC BOARD OF MASSAGE AND 

BODYWORK THERAPY 

21 NCAC 30 .0201 APPLICATION AND SCOPE 

Each applicant for a license as a massage and bodywork 

therapist shall complete an application form provided by the 

Board. This form shall be submitted to the Board and shall be 

accompanied by: 

(1) One original color photograph of the applicant 

taken within six months preceding the date of 

the application of sufficient quality for 

identification. The photograph shall be of the 

head and shoulders, passport type, two inches 

by two inches in size; 

(2) The proper fees, as required by Rule .0204 of 

this Section and G.S. 90-629.1(b); 

(3) Documentation that the applicant has earned a 

high school diploma or equivalent; 


873


(4) Documentation that the applicant is 18 years 

of age or older; 

(5) Documentation that the applicant has 

successfully completed a course of study at a 

school approved by the Board according to 

these Rules and consisting of a minimum of 

500 classroom hours of supervised instruction. 

If the applicant attended a school which is not 

approved by the Board the Board may elect to 

review that applicant's school and educational 

credentials for approval on a case-by-case 

basis. The documentation of such training 

must come from a school which is licensed by 

the educational licensing authority in the state, 

territory or country in which it operates, or is 

exempt by statute. In North Carolina the 

documentation must come from a proprietary 

school approved by the Board or a collegebased 

massage program that is exempt from 

Board approval. The curriculum must meet or 

be substantially equivalent to the standards set 

forth in Rule .0620(2) of this Chapter; 

(6) Documentation that the applicant has achieved 

a passing score on a competency assessment 

examination that meets generally accepted 

psychometric principles and standards; 

(7) Forms provided by the Board containing 

signed statements from two persons attesting 

to the applicant's good moral character and 

adherence to ethical standards; 

(8) Fingerprint card provided by the Board and 

executed by an official fingerprinting agency; 

and 

(9) A form provided by the Board consenting to a 

criminal history record check by the North 


History Note: Authority G.S. 90-626(2); 90-629; 




21 NCAC 30 .0516 TREATMENT IN BODY 

CAVITIES 

A licensee may perform massage and bodywork therapy inside 

the vaginal or anal cavities of a client provided the licensee 

complies with the following requirements: 

(1) the licensee has received a written prescription 

or order from a licensed medical doctor 

prescribing or ordering the specific massage 

and bodywork therapy treatment to the soft 

tissues inside the vaginal or anal cavity; 

(2) prior to the start of treatment, the licensee 

obtains written and signed consent from the 

client for treatment inside the client's vaginal 

or anal cavities stating that the client has been 

advised that the client has the right to have 

another person, provided either by the client or 

therapist, present in the room while the 

treatment is being performed and indicating 

whether the client chooses treatment with a 

third person present or treatment with only the 

therapist and the client present; 

(3) consistent with Rule .0506 of this Chapter, the 

drape covering the client's pelvic area may be 

temporarily moved with the voluntary and 

informed consent of the client in order to 

perform therapeutic treatment to the structures 

in that area; 

(4) consistent with Rule .0507 of this Chapter, the 

licensee shall use a glove or finger cot made of 

latex or other impervious material to cover 

their hand or finger used for treatment within 

body cavities; and 

(5) the massage and bodywork therapy treatment 

is performed in conformance with Rule .0509 

of this Chapter. 

History Note: Authority G.S. 90-626(9); 


TITLE 26 – OFFICE OF ADMINISTRATIVE HEARINGS 

26 NCAC 01 .0101 LOCATION 

(a) The principal office of the Office of Administrative 

Hearings is located at 1711 New Hope Church Road, Raleigh, 

North Carolina. The mailing address is 6714 Mail Service 

Center, Raleigh, NC 27699-6714. 

(b) Forms and information about the office may be obtained 

from the agency's website at: www.oah.state.nc.us. 

History Note: Authority G.S. 7A-751(a); 


Amended Eff. October 1, 2008; August 1, 2000; December 1, 

1999; April 1, 1991. 

26 NCAC 02C .0401 SCOPE AND AVAILABILITY 

(a) The rules in this Section set forth the requirements for 

submitting rules for inclusion in the Code. The agency shall also 

comply with the requirements in Sections .0100 - .0200 of this 

Subchapter. 

(b) These Rules apply to agencies subject to G.S. 150B, Article 

2A, as well as those agencies subject to G.S. 150B-21.21(a) and 

(b). 

(c) The Official North Carolina Administrative Code is 

available by subscription from Thomson Reuters and may be 

ordered directly from a Thomson Reuters representative by 

calling 1-800-328-9352, online at 

http://www.thomsonreuters.com, or by writing to Thomson 

Reuters, 610 Opperman Drive, Eagan, MN 55123. 

(d) The North Carolina Administrative Code is available on the 

OAH website: http://www.oah.state.nc.us. 

History Note: Authority G.S. 150B-21.17; 150B-21.18; 

150B-21.19; 



874


Amended Eff. October 1, 2008; December 1, 2002; April 1, 

1997. 

26 NCAC 04 .0202 CONTENT AND FILING 

PROCEDURES 

(a) Forms for filing political discrimination complaints may be 

obtained from the Civil Rights Division, 6714 Mail Service 

Center, Raleigh, NC 27699-6714 or 919-431-3036. Any person 

wishing to file a complaint of alleged political discrimination 

shall address the complaint to: 

Director of Civil Rights Division 

Office of Administrative Hearings 

6714 Mail Service Center 

Raleigh, NC 27699-6714 

(b) The complainant may file a political discrimination 

complaint and related documents by facsimile (fax) transmission 

during regular office hours. The faxed complaints and 

documents shall be deemed a "filing" within the meaning of 26 

NCAC 04 .0201(3) provided the original complaint or 

documents are received by the Civil Rights Division within five 

business days following the faxed transmission. 

(c) The complaint shall include the following information: 

(1) Full name, address and telephone number 

(work and home) of person making the 

complaint; 

(2) Full name, address and telephone number of 

the agency against whom the complaint is 

made (the respondent); 

(3) The basis of the complaint (hiring or 

promotion); 

(4) The date the alleged discrimination occurred; 

(5) The name(s) of the individual(s) hired or 

promoted; 

(6) A statement disclosing the particulars of the 

employment decision; 

(7) The signature of the person making the 

complaint; and 

(8) The date the complainant signed the 

complaint. 

History Note: Authority G.S. 7A-751; 126-14.4; 

Temporary Adoption Eff. January 1, 1998; 


Amended Eff. October 1, 2008; December 1, 1999; August 1, 

1998. 


875

RULES REVIEW COMMISSION 

This Section contains information for the meeting of the Rules Review Commission on Thursday October 16, 2008 10:00 

a.m. at 1711 New Hope Church Road, RRC Commission Room, Raleigh, NC. Anyone wishing to submit written comment on 

any rule before the Commission should submit those comments to the RRC staff, the agency, and the individual 

Commissioners. Specific instructions and addresses may be obtained from the Rules Review Commission at 919-431-3100. 

Anyone wishing to address the Commission should notify the RRC staff and the agency at least 24 hours prior to the 

meeting. 

RULES REVIEW COMMISSION MEMBERS 

Appointed by Senate 

Jim R. Funderburke - 1st Vice Chair 

David Twiddy - 2nd Vice Chair 

Keith O. Gregory 

Jerry R. Crisp 

Jeffrey P. Gray 

Appointed by House 

Jennie J. Hayman - Chairman 

John B. Lewis 

Clarence E. Horton, Jr. 

Daniel F. McLawhorn 

RULES REVIEW COMMISSION MEETING DATES 

November 20, 2008 December 18, 2008 

January 15, 2009 February 19, 2008 

AGENDA 


Thursday, November 20, 2008, 9:00 A.M. 

I. Introduction and swearing in of new Commissioner Venable 

II. Ethics reminder by the chair as set out in G.S. 138A-15(e) 

III. Approval of the minutes from the last meeting 

IV. Follow-Up Matters: 

A. Environmental Management Commission – 15A NCAC 02B .0262, .0263, .0267 

(Review for technical changes only); .0265, .0266, .0311 (DeLuca) 

B. Water Treatment Facility Operators Cert. Board – 15A NCAC 18D .0308 (Bryan) 

C. Board of Nursing – 21 NCAC 36 .0201, .0203 (DeLuca) 

V. Review of Log of Permanent Rule filings for rules filed between September 23, 2008 and 

October 20, 2008 (attached) 

VI. Review of Temporary Rules 

VII. Commission Business 

• Next meeting: December 18, 2008 

Commission Review 

Log of Permanent Rule Filings 

September 23, 2008 through October 20, 2008 

TOBACCO TRUST FUND COMMISSION 

The rules in Chapter 57 are from the tobacco trust fund commission and concern general provisions (.0100); 

compensatory program grants (.0200); and qualified agricultural program grants (.0300). 

Applications for Grants 

Amend/* 

02 NCAC 57 .0204 


876


Out of Cycle Award of Grants 

Repeal/* 

Review of Proposals 

Amend/* 

Reporting 

Amend/* 

Applications for Grants 

Amend/* 

Out of Cycle Consideration of Grants 

Repeal/* 

Review of Proposals 

Amend/* 

Reporting 

Amend/* 



02 NCAC 57 .0209 





CEMETERY COMMISSION 

The rules in Subchapter 05D concern trust funds including maintenance and care of funds (perpetual care funds) 

(.0100); and pre-need cemetery merchandise, pre-constructed mausoleums and below ground crypts trust funds 

(.0200). 

Delivery 

Amend/* 

04 NCAC 05D .0202 

CORRECTIONS, DEPARTMENT OF 

The rules in Chapter 1 are departmental rules. 

The rules in Subchapter 1F concern general administration (.0100) and petition for rulemaking (.0200). 

Location 

Adopt/* 

Cost of Copies 

Adopt/* 

Filing a Petition for Rule-making 

Adopt/* 

05 NCAC 01F .0101 



BLIND, COMMISSION FOR THE 

The rules in Chapter 63 concern services for the blind. 

The rules in Subchapter 63C concern business enterprises program including licensing and placement (.0200); 

special provisions (.0300); administrative appeal procedure (.0400); election: organization and functions of the 

committee on the stand program (.0500); responsibilities of licensed operators (.0600); and earnings: funds and 

proceeds (.0700). 

Licensing and Placement 

Amend/* 

Filling of Vacancies 

Amend/* 

10A NCAC 63C .0202 

10A NCAC 63C .0204 

INSURANCE, DEPARTMENT OF 

The rules in Chapter 11 are from the Department of Insurance and concern financial evaluation of insurance 

companies. 

The rules in Subchapter 11F are actuarial rules including general provisions (.0100); health insurance minimum 


877


reserve standards (.0200); actuarial opinion and memorandum (.0300); commissioner's reserve valuation method 

(.0400); new annuity valuation mortality tables (.0500); recognition of the 2001 CSO mortality table for use in 

determining minimum reserve liabilities and non-forfeiture benefits (.0600); determining minimum reserve 

liabilities for credit life insurance (.0700); and preferred class structure mortality table (.0800). 

Definitions 

Amend/* 

2001 CSO Mortality Table as Minimum Standard 

Amend/* 

Conditions 

Amend/* 

Gender-Blended Tables 

Amend/* 

Minimum Standards for Preneed Life Insurance 

Adopt/* 






PRIVATE PROTECTIVE SERVICES BOARD 

The rules in Subchapter 7D cover general provisions (.0100); licenses and trainee permits (.0200); guard dog 

services (.0300); counterintelligence (.0400); polygraphs (.0500); psychological stress evaluators (PSE) (.0600); 

unarmed and armed security guards (.0700-.0800); firearms certificate (.0900); recovery funds (.1000); private 

investigator associates (.1100); firearms instructor trainers (.1200); and continuing education (.1300). 

Requirements for a Firearms Trainer Certificate 

Amend/* 

Records Retention 

Amend/* 

Post-Delivery Report for Firearms Training Courses 

Amend/* 

12 NCAC 07D .0901 



COASTAL RESOURCES COMMISSION 

The rules in Subchapter 7H are the state guidelines for areas of environmental concern including introduction and 

general comments (.0100); the estuarine system (.0200); ocean hazard areas (.0300); public water supplies (.0400); 

natural and cultural resource areas (.0500); development standards (.0600); general permits for construction or 

maintenance of bulkheads and the placement of riprap for shoreline protection in estuarine and public trust waters 

(.1100); piers, docks and boat houses in estuarine and public trust waters (.1200); boat ramps along estuarine 

shorelines and into estuarine and public trust waters (.1300); wooden groins in estuarine and public trust waters 

(.1400); excavation within or connecting to existing canals, channels, basins, or ditches in estuarine waters, public 

trust waters, and estuarine shoreline AECs (.1500); aerial and subaqueous utility lines with attendant structures in 

coastal wetlands, estuarine waters, public trust waters and estuarine shorelines (.1600); emergency work requiring a 

CAMA or a dredge and fill permit (.1700); beach bulldozing landward of the mean high-water mark in the ocean 

hazard AEC (.1800); temporary structures within the estuarine and ocean hazard AECs (.1900); general permit for 

authorizing minor modifications and repair to existing pier/mooring facilities in estuarine and public trust waters 

and ocean hazard areas (.2000); marsh enhancement breakwaters for shoreline protection in estuarine and public 

trust waters (.2100); general permits for construction of freestanding moorings in established waters and public 

trust areas (.2200); general permits for replacement of existing bridges and culverts in estuarine waters, estuarine 

shorelines, public trust areas and coastal wetlands (.2300); general permit for placement of riprap for wetland 

protection in estuarine and public trust waters (.2400); emergency general permit, to be initiated at the discretion of 

the secretary of the Department of Environment and Natural Resources for replacement of structures, the 

reconstruction of primary or frontal dune systems, and the maintenance excavation of existing canals, basins, 

channels, or ditches, damaged, destroyed, or filled in by hurricanes or tropical storms, provided all replacement, 

reconstruction and maintenance excavation activities conform to all current standards (.2500); general permit for 

construction of wetland, stream and buffer mitigation sites by the North Carolina Ecosystem Enhancement Program 

or the North Carolina Wetlands Restoration Program (.2600); and general permit for the construction of riprap sills 

for wetland enhancement in estuarine and public trust waters (.2700). 

General Use Standards for Ocean Hazard Areas 15A NCAC 07H .0306 


878


Amend/* 

The rules in Chapter 7 pertain to coastal management and are promulgated by the Division of Coastal Management 

or the Coastal Resources Commission. 

The rules in Subchapter 7J concern procedures for handling major development permits, variance requests, appeals 

from minor development permit decisions and declaratory rulings. They include definitions (.0100); permit 

application and procedures (.0200); hearing procedures (.0300); final approval and enforcement (.0400); general 

permits (.0500); declaratory rulings and petitions for rulemaking (.0600); procedures for considering variance 

petitions (.0700); general permit procedure (.1100); and static vegetation line exception procedures (.1200). 

Requesting the Static Line Exception 

Adopt/* 

Review of the Static Line Exception Request 

Adopt/* 

Procedure for Approving the Static Line Exception 

Adopt/* 

Review of the Large-Scale Beach-Fill Project and Approved... 

Adopt/* 

Revocation and Expiration of the Static Line Exception 

Adopt/* 

Local Government and Communities with Static Vegetation L... 

Adopt/* 

15A NCAC 07J .1201 






COSMETIC ART EXAMINERS, BOARD OF 

The rules in Chapter 14 are from the Cosmetic Art Examiners. 

The rules in Subchapter 14A are the Cosmetic Art Board of Examiners structure and organization rules. The rules 

in Section .0100 are the organizational rules. 

Definitions 

Amend/* 

21 NCAC 14A .0101 

The rules in Subchapter 14F govern all aspects of licensing a beauty salon. 

Salon Renewal 

Repeal/* 


The rules in Subsection 14G give the requirements for the establishment of cosmetic art schools. 

Forms 

Repeal/* 

Equipment and Teachers 

Amend/* 

21 NCAC 14G .0102 


The rules in Subchapter 14H are sanitation rules for both operators and facilities. 

Sanitary Ratings and Posting of Ratings 

Amend/* 

Cleanliness of Operators 

Amend/* 

Cleanliness of Clinic Area: Supplies: Combs and Brushes 

Amend/* 

Cleanliness of Scissors, Shears, Razors and Other Equipment 

Amend/* 

21 NCAC 14H .0105 





879


Health of Operators 

Repeal/* 

Animals 

Amend/* 

Systems of Grading Beauty Establishments 

Amend/* 

Footspa Sanitation 

Amend/* 





The rules in Subchapter 14I govern the operation of cosmetic art schools including record keeping (.0100); the 

reception area (.0200); classrooms (.0300); and licensure of convicted felons (.0400). 

Transfer of Credit 

Amend/* 

Report of Enrollment 

Amend/* 

Summary of Cosmetic Art Education 

Amend/* 

Recitation Room 

Amend/* 

Classroom Bulletin Board 

Amend/* 

Application/Licensure/Individuals Who Have Been Convicted... 

Amend/* 

Requests for Preapplication Review of Felony Convictions 

Repeal/* 

21 NCAC 14I .0105 


21 NCAC 14I .0109 





The rules in Subchapter 14J cover the cosmetology curriculum including the beginners' department (.0100); the 

advanced department (.0200); combined studies (.0300); the course of study (.0400); and credit for study outside of 

North Carolina (.0500). 

Equipment 

Amend/* 

21 NCAC 14J .0302 

The rules in Subchapter 14K deal with the manicurist curriculum. 

Uniforms 

Amend/* 

Equipment and Instruments 

Amend/* 

Identification Pins 

Amend/* 

Live Model Performances 

Amend/* 

21 NCAC 14K .0101 




The rules in Subchapter 14L deal with teacher qualifications and examinations (.0100) and teacher program and 

curriculum (.0200). 

Application to Take Examination 

21 NCAC 14L .0106 

Amend/* 

Supervision of Cosmetic Art Teacher Trainer 


Amend/* 

Effect on Student-Teacher Ration 


Amend/* 

Fee 21 NCAC 14L .0214 


880


Repeal/* 

The rules in Subchapter 14N deal with examinations including general provisions (.0100), cosmetologist exam 

(.0200), manicurist exam (.0300), cosmetologist teacher exam (.0400), and manicurist teach examination (.0500), 

esthetician examination (.0600), and esthetician teacher examination (.0700). 

Initial Application and Fees 

Amend/* 

21 NCAC 14N .0102 

The rules in Subchapter 14O are esthetician curriculum rules. 

Uniforms 

Amend/* 

Course of Study 

Amend/* 

Identification Pins 

Amend/* 

Sanitation 

Repeal/* 

21 NCAC 14O .0101 




The rules in Subchapter 14P are civil penalty rules. 

Renewals, Expired Licenses, Licenses Required 

Amend/* 

Licenses Required 

Amend/* 

Licenses to be Posted 

Amend/* 

Revocation of Licenses and Other Disciplinary Measures 

Amend/* 

Sanitary Ratings and Posting of Ratings - Applicable to E... 

Amend/* 

Operations of Schools of Cosmetic Art 

Amend/* 

Sanitary Ratings 

Amend/* 

21 NCAC 14P .0105 







The rules in Subchapter 14R are continuing education rules. 

Continuing Education Requirements 

Amend/* 

Application Criteria and Continuing Education Course Appr... 

Amend/* 

Criteria for Continuing Education Courses 

Amend/* 

21 NCAC 14R .0101 



PHARMACY, BOARD OF 

The rules in Chapter 46 are from the Board of Pharmacy and cover organization of the Board (.1200); general 

definitions (.1300); hospitals and other health facilities (.1400); admission requirements and examinations (.1500); 

licenses and permits (.1600); drugs dispensed by nurse and physician assistants (.1700); prescriptions (.1800); 

forms (.1900); administrative provisions (.2000); elections (.2100); continuing education (.2200); prescription 

information and records (.2300); dispensing in health departments (.2400); miscellaneous provisions (.2500); 

devices (.2600); nuclear pharmacy (.2700); sterile parenteral pharmaceuticals (.2800); product selection (.2900); 

disposal of unwanted drugs (.3000); clinical pharmacist practitioner (.3100); impaired pharmacist peer review 


881


program (.3200); and registry of pharmacist technicians (.3300). 

Partial Examination 

Repeal/* 


PHYSICAL THERAPY EXAMINERS, BOARD OF 

The rules in Subchapter 48G concern retention of license including licensure renewal (.0100); lapsed licenses 

(.0200); refusal to renew or grant license suspension or revocation (.0300); probation or warning (.0400); contested 

case hearings (.0500); and disciplinary action (.0600). 

Definitions 

Adopt/* 

Continuing Competence 

Adopt/* 

Standards for Continuing Competence Activities 

Adopt/* 

Approval of Providers and Activities 

Adopt/* 

Continuing Competence Activities 

Adopt/* 

Evidence of Compliance 

Adopt/* 

Exemptions and Deferments 

Adopt/* 

Costs 

Adopt/* 

Revival of Lapsed License 

Amend/* 





21 NCAC 48G .0109 





STATE PERSONNEL COMMISSION 

The rules in Chapter 1 are from the State Personnel Commission. 

The rules in Subchapter 1C concern personnel administration including employment (.0100); general employment 

policies (.0200); personnel records and reports (.0300); appointment (.0400); work schedule (.0500); competitive 

service (.0600); secondary employment (.0700); requirements for teleworking programs (.0800); employee 

recognition programs (.0900); and separation (.1000). 

Separation: Payment of Vacation Leave 

Amend/* 

25 NCAC 01C .1009 

The rules in Subchapter 1D are the rules dealing with compensation and include administration of the pay plan 

(.0100); new appointments (.0200); promotion (.0300); demotions or reassignments (.0400); separation (.0500); 

reallocation (.0600); salary range revision (.0700); initial classification (.0800); transfer (.0900); reinstatement 

(.1000); performance salary increases (.1100); longevity pay (.1200); holiday premium pay (.1300); shift premium 

pay (.1400); emergency call-back pay (.1500); foreign service pay (.1600); employment of physicians for extended 

duty (.1800); hours of work and overtime compensation (.1900); unemployment insurance (.2000); special salary 

adjustments (.2100); payment of salary (.2200); accelerated pay plan (.2300); comprehensive compensation system 

(.2500); and in range salary adjustments (.2600). 

Leave 

Repeal/* 

25 NCAC 01D .0517 

The rules in Subchapter 1E cover employee benefits including general leave provisions (.0100); vacation leave 

(.0200); sick leave (.0300); workers compensation leave (.0700); military leave (.0800); holidays (.0900); 


882


Separation: Payment of Vacation Leave 

Amend/* 

25 NCAC 01E .0210 

BUILDING CODE COUNCIL 

NC Residential Code: General. Appendix Q Footing Continuity 

Adopt/* 

R403.1 


883

CONTESTED CASE DECISIONS 

This Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index to 

all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the 

decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of 

Administrative Hearings, (919) 431-3000. Also, the Contested Case Decisions are available on the Internet at 

http://www.ncoah.com/hearings. 

OFFICE OF ADMINISTRATIVE HEARINGS 

Chief Administrative Law Judge 

JULIAN MANN, III 

Senior Administrative Law Judge 

FRED G. MORRISON JR. 

ADMINISTRATIVE LAW JUDGES 

Beecher R. Gray 

Selina Brooks 

Melissa Owens Lassiter 

Don Overby 

Randall May 

A. B. Elkins II 

Joe Webster 

Shannon Joseph 

CASE DATE OF PUBLISHED DECISION 

AGENCY NUMBER ALJ DECISION REGISTER CITATION 

ALCOHOL BEVERAGE CONTROL COMMISSION 

Partnership T/A C Js Lounge v. ABC Commission 07 ABC 0201 Overby 03/11/08 

ABC Commission v. Rainbow Enterprises, Inc T/A Club N Motion 07 ABC 1532 Gray 06/20/08 23:05 NCR 489 

Benita, Inc., T/A Pantana Bob's v. ABC Commission 07 ABC 1584 Overby 04/21/08 23:01 NCR 141 

Original Grad, Inc/ T/A Graduate Food and Pub 07 ABC 1648 Joseph 02/25/08 

N.C. Alcoholic Beverage Control Commission v. Feest Inc. 07 ABC 2135 Gray 09/12/08 

T/A Spankys Sports Bar and Grill 

AM Enterprises of Fayetteville, Inc., T/A Izzy's Sports Bar v. ABC 08 ABC 0371 Lassiter 06/13/08 

Commission 

Bhavesh Corporation, T/A K&B Foomart v. ABC Commission 08 ABC 0508 Overby 05/19/08 

CRIME VICTIMS COMPENSATION 

Patricia Ginyard v. Crime Victim Compensation Commission 06 CPS 1720 Gray 05/27/08 

Carrie R. McDougal v. Victims Compensation Services Division 07 CPS 1970 Elkins 05/23/08 

Taereka S Johnson v. NC Crime Victims Compensation Commission 08 CPS 0402 Morrison 08/08/08 

Rich's Towing and Service Inc. v. NC Department of Crime Control 08 CPS 0698 May 08/13/08 

And Public Safety, Division of State Highway Patrol, Motor Carrier 

Enforcement Section 

Steel Supply and Erection Co., Department of Crime Control and Public 

Safety, Division of State Highway Patrol and Department of Revenue 08 CPS 0777 Overby 05/29/08 

Randy S. Griffin v. NC Crime Victims Compensation Commission 08 CPS 0995 May 09/11/08 

Interstate Crushing Inc. v. NC Dept. of Crime Control and Public 08 CPS 1086 Overby 09/29/08 

Safety, Division of State Highway Patrol, Motor Carrier 

Enforcement Section 

Sterett Equipment Company LLC v. N.C. Dept. of Crime Control 08 CPS 1206 Overby 09/29/08 

And Public Safety, Division of State Highway Patrol, Motor 

Carrier Enforcement Section 

Bertrand E. Dupuis d/b/a New England Heavy Hauling v. N.C. 08 CPS 1207 Overby 09/29/08 

Department of Crime Control and Public Safety, Division of 

State Highway Patrol, Motor Carrier Enforcement Section 

Bulldog Erectors, Inc v. N.C. Department of Crime Control and 08 CPS 1208 Overby 09/29/08 

Public Safety, Division of State Highway Patrol, Motor 

Carrier Enforcement Section 

Continental Machinery Movers Inc. v. N.C. Department of Crime 08 CPS 1209 Overby 09/29/08 

Control and Public Safety, Division of State Highway Patrol, 

Motor Carrier Enforcement Section 

Michael Alan Moore v. Crime Victims Compensation Commission 08 CPS 1478 Lassiter 09/08/08 

SOOF Trucking, Ray Charles Solomon v. Secretary of Crime Control 08 CPS 1526 Overby 09/09/08 

And Public Safety 


884


A list of Child Support Decisions may be obtained by accessing the OAH Website: http://www.ncoah.com/hearings/decisions/ 

DEPARTMENT OF HEALTH AND HUMAN SERVICES 

Gloria McNair Jean's Jewels v. Div. of Child Development, DHHS 06 DHR 0633 Lassiter 07/11/08 

Gloria McNair Jean's Jewels v. Div. of Child Development, DHHS 06 DHR 1350 Lassiter 07/11/08 

Character Builders, Inc., Clavon Leonard v. DMA, Developmental 07 DHR 0124 Elkins 08/07/08 

Disabilities and Substance Abuse Services 

Character Builders, Inc., Clavon Leonard v. DMA, Developmental 07 DHR 0125 Elkins 08/07/08 


Arthur Burch and Margaret and Burch v. Department of Health and 07 DHR 0242 Brooks 04/30/08 

Human Services 

The "M" Company LLC, v. DHHS, DMA, Program Integrity 07 DHR 0429 Webster 05/29/08 

Judy E. Pettus v. Office of Chief Medical Examiner, Thomas B. Clark, 07 DHR 0535 Webster 05/05/08 

Iii, Md, Pathologist 

Alterra Clare Bridge of Asheville v. DHHS, DFS, Adult Care 07 DHR 0914 Gray 06/06/08 

Licensure Section 

Shirley Brooks Dial v. Health Care Personnel Registry 07 DHR 0931 Webster 02/27/08 

Midtown Food Mart #2, Kerab Giebrehiwot, Mehreteab Wooldeghebibel 07 DHR 1044 Webster 04/25/08 

and Fesseha Zeru 

Midtown Food Mart III, Chenet Haileslassi and Fesseha Zeru v. DHHS 07 DHR 1045 Webster 04/28/08 

Carolyn E. Reed v. DHHS, Division of Social Services Program Integrity 07 DHR 1214 Webster 07/21/08 

AFDC/Work First 

Mrs. Elizabeth Futrell v. Value Options 07 DHR 1331 Lassiter 06/09/08 

Cornell Jones v. DHHS, Division of Health Services Regulation 07 DHR 1399 Joseph 04/22/08 

Dianetta Foye v. Division of Child Development, DHHS, Services 07 DHR 1440 Joseph 05/07/08 

Rufus Patrick Devers v. DHHS, Division of Health Service Regulation 07 DHR 1442 Joseph 05/29/08 

Health Care Personnel Registry 

Ray Dukes, Bright Future Learning Center v. DHHS, Division of Public 07 DHR 1473 Joseph 04/08/08 

Health, Child and Adult Care Food Program 

Hospice of the Piedmont, Inc., v. DHHS, Division of Health Service 07 DHR 1617 Elkins 05/21/08 

Regulation, Licensure and Certification Section and DHHS, 

Division of Health Service Regulation, CON Section 

Janice Addison v. Value Options 07 DHR 1618 Webster 05/16/08 

Donna Hicks Crocker v. DHHS/DMA 07 DHR 1629 Joseph 08/01/08 

Rebecca Dehart v. DHHS, Division of Health Service Regulation 07 DHR 1650 Elkins 05/21/08 

Health Care Personnel Registry Section 

Ellen Brown v. DHHS, Division of Health Service Regulation, Health 07 DHR 1651 Elkins 05/21/08 

Care Personnel Registry Section 

Joann Lennon v. Value Options Medicaid 07 DHR 1770 Webster 05/16/08 

Angeline Currie v. DHHS 07 DHR 1986 Elkins 06/04/08 

Tameala Jones v. OAH 07 DHR 1993 Webster 05/16/08 

Dianetta Foye v. Division of Child Development, DHHS, Services 07 DHR 2020 Joseph 05/07/08 

Lashauna Reid v. CCMHC (PFCS-Service Provider) 07 DHR 2039 Elkins 08/05/08 

Presbyterian Diagnostic Center at Cabarrus LLC v. N.C. Department 07 DHR 2043 Lassiter 08/18/08 

of Health and Human Services, Division of Health Service 

Regulation and Southern Piedmont Imaging, LLC 

Southern Piedmont Imaging, LLC v. N.C. Department of Health 07 DHR 2045 Lassiter 08/18/08 

and Human Services, Division of Health Service Regulation and 

Presbyterian Diagnostic Center at Cabarrus, LLC 

Family & Youth Services, Inc. Angela Ford, President v. DHHS, 07 DHR 2057 Webster 05/16/08 

Division of Medical Assistance Provider Services 

Yolanda Jones v. DHHS, Adult Licensure Section 07 DHR 2081 Webster 05/16/08 

Tianna Troy Legal guardian Mother Traci Lookadoo v. Value Option 07 DHR 2087 Elkins 05/23/08 

Gary Carlton, Sr., v. DHHS 07 DHR 2099 Brooks 07/10/08 

Alexis Ford/Linda M McLauglin v. DHHS 07 DHR 2111 Elkins 06/04/08 

Roger Houston v. DHHS, Div. of Health Service Regulation 07 DHR 2176 Gray 07/08/08 

Dorothy L. Davis v. OAH 07 DHR 2179 May 07/02/08 

Kevin McMillian/Linda M McLaughlin v. DHHS 07 DHR 2239 Elkins 06/04/08 

Maurisha Bethea/Linda McLaughlin v. DHHS 07 DHR 2240 Elkins 06/04/08 

Anna Fields v. Value Options 07 DHR 2326 Joseph 06/02/08 

Larry Hopper v. DHHS 07 DHR 2356 May 06/20/08 

Shelby Davis v. DHHS 08 DHR 0014 Lassiter 05/09/08 

Hellon P. Johnson v. DHHS 08 DHR 0020 May 07/03/08 

Lenora King v. DHHS 08 DHR 0034 Joseph 05/01/08 

Forest Mewborn v. Health Care Personnel Registry 08 DHR 0043 Elkins 05/23/08 

Wilma Jackson v. Value Options 08 DHR 0082 Joseph 06/02/08 

Carmelita Wiggins v. Value Options 08 DHR 0198 Webster 05/16/08 

Murphy's Outreach Community Developmental Services, Inc, d/b/a 08 DHR 0220 Joseph 07/22/08 

Outreach Home Health 


885


Lisa Helms v. DHHS 08 DHR 0255 Overby 06/17/08 

Pearlene Johnson Ivery v. DMA, Third Party Recovery (Medicaid) 08 DHR 0286 Brooks 07/07/08 

Mamauie Aytch v. DHHS 08 DHR 0325 Elkins 05/23/08 

Brenda McGilvary v. DHHS, Division of Social Services 08 DHR 0384 Webster 08/05/08 

Fannie M. Wilson v. OAH 08 DHR 0393 Webster 06/17/08 

Angela D Seabrooks/The Jabez House LLC v. DHHS/Division of Mental 08 DHR 0403 Joseph 06/09/08 

Health, Developmental and Substance Abuse Services, The Guilford 

Center 

William McCray Pretty v. DHHS, Division of Facility Services 08 DHR 0411 Webster 06/12/08 

Focus Health Services, Inc. via Annette Johnson, Owner Operator v. 08 DHR 0442 Gray 06/12/08 

North Carolina Department of Health and Human Services and 

Albemarle Mental Health Center for Developmental 


Earline Ross (Quentin Galloway) v. DHHS (Medicaid) 08 DHR 0549 May 06/09/08 

Frances Milligan v. DHHS 08 DHR 0566 May 06/19/08 

Betty Williams v. DHHS 08 DHR 0570 Joseph 06/02/08 

Susan Nelson v. Medicaid 08 DHR 0573 May 06/09/08 

Brent Morris Per Dedrea Moors (Mother) v. Priscilla Valet, DMA 08 DHR 0585 May 06/09/08 

Brenda M. Finney v. Medicaid 08 DHR 0586 Joseph 06/09/08 

Allred & Allred Day Care Center, Inc. v. N.C. Department of 08 DHR 0617 May 06/04/08 

Health and Human Services, Division of Public Health, Child 

And Adult Care Food Program 

Lakeva Robinson v. DMA/Value Options 08 DHR 0625 May 05/28/08 

Ronald Lee Young v. N.C. Department of Health and Human 08 DHR 0631 Joseph 07/21/08 

Services 

Tina Miller v. OAH, DHHS 08 DHR 0661 Lassiter 06/10/08 

Doris Harris v. Division of Child Development 08 DHR 0710 May 07/02/08 

Michelle D. Mills v. DHHS, Division of Health Service Regulation 08 DHR 0712 Joseph 06/09/08 

Trena Ellis v. DHHS 08 DHR 0730 Lassiter 07/03/08 

Faith Davis v. Pride in North Carolina Value Options 08 DHR 0746 Overby 05/28/08 

Evonne Neal v. Medicaid 08 DHR 0748 May 06/20/08 

Maria Dejesus Ruiz La Vaca Ramona v. N.C. Department of 08 DHR 0760 Overby 07/24/08 

Health and Human Services 

Ray C. Price v. DHHS, Office of the Controller 08 DHR 0767 Brooks 07/07/08 

Cheryl I Rice v. DHHS 08 DHR 0793 Overby 07/10/08 

Destiny A Taylor v. Division of Child Development 08 DHR 0794 Gray 07/21/08 

Mary Ada Mills, Mary M. Mills MSA FCH v. Adult Care Licensure 08 DHR 0808 May 08/26/08 

Lula Bowden v. OAH 08 DHR 0852 May 06/20/08 

Donovan Harris v. Value Options 08 DHR 0894 May 06/19/08 

Gabrielle Lloyd v. DHHS, Division of Health Service Regulation 08 DHR 0905 May 09/22/08 

Janice Chavis v. DHHS 08 DHR 0923 Lassiter 05/19/08 

Frankie Nicole Carter v. DHHS, Division of Health Service Regulation 08 DHR 0929 Brooks 06/19/08 

Christine Maria Plyer v. Medicaid Reimbursement 08 DHR 0949 Mann 06/18/08 

Margaret Mubanga v. NC Department of Health and Human Services 08 DHR 0961 Gray 08/25/08 

Evangeline Ingram v. Value Options 08 DHR 0997 Gray 06/10/08 

Marcia Veronica Harris v. Department of Health and Human 08 DHR 0169 Lassiter 08/11/08 

Services, Division of Health Service Regulation 

Maureen Jordan parent of Destinne Jordan v. Value Options 08 DHR 1005 Gray 06/19/08 

Triangle Alternative Inc. Dorothy George v. Office of 08 DHR 1012 May 07/21/08 

Administrative Hearings 

Terrie P Hill dba Positive Care MHL 041-595 2203 Wanda Drive v. 08 DHR 1015 Lassiter 09/12/08 

N.C. Department of Health and Human Services, Division of 

Health Service Regulation, Mental Health Licensure and Certification 

Section 

Terrie P Hill dba Positive Care II MHL 041-633 3406 Fern Place v. 08 DHR 1016 Lassiter 09/12/08 

NC Department of Health and Human Services, Division of 

Health Service Regulation, Mental Health Licensure and 

Certification Section 

Terrie P Hill dba Positive Care II MHL 041-765 3406 Fern Place v. 08 DHR 1017 Lassiter 09/12/08 

NC Department of Health and Human Services, Division of 

Health Service Regulation, Mental Health Licensure and Certification 

Section 

Mario Jackson v. DHHS 08 DHR 1024 Overby 06/19/08 

Edwin F Clavijo, El Exito v. NC Department of Health and Human 08 DHR 1034 Lassiter 09/15/08 

Services, Division of Public Health, Nutrition Services Branch 

Linda F. Ellison v. NC Department of Health and Human 08 DHR 1035 Joseph 07/09/08 

Services and or EDS 

Doris Smith v. Health Care Personnel Registry 08 DHR 1238 Brooks 08/08/08 

Martha Washington Harper v. DSS 08 DHR 1041 Brooks 06/23/08 

Mary K. Tulay v. DHHS 08 DHR 1055 Joseph 07/09/08 

Gwendolyn F. Gulley v. NC Department of Health and Human 08 DHR 1062 Overby 09/09/08 

Services, Division of Health Service Regulation, Adult Care 

Licensure Section 

Rhonda Jones v. Value Options 08 DHR 1064 Webster 07/18/08 


886


One Love Developmental Services v. Division of Health Service 08 DHR 1068 Lassiter 07/25/08 

Regulation, Department of Health and Human Services 

Jona Turner v. Office of Administrative Hearings 08 DHR 1092 Webster 07/18/08 

Tonia Chatman Davis v. N.C. Department of Health and Human 08 DHR 1141 Lassiter 07/28/08 

Services 

Mary M. Branch v. North Carolina Dept of Health and Human 08 DHR 1174 Elkins 08/11/08 

Services, Value Options 

Haywood Miller, Bobby Jean Graves Miller v. DHHS, Mental Health 08 DHR 1181 Overby 07/01/08 

Licensure Certification Section 

Jan Williams v. Value Options, DHHS 08 DHR 1231 Overby 07/09/08 

Heather Peete v. OAH 08 DHR 1281 Lassiter 07/02/08 

Ann Moody v. DHHS 08 DHR 1299 Webster 07/18/08 

Khahada Kirby v. Value Options 08 DHR 1310 Webster 07/18/08 

Amir Abusamak v. N.C. Department of Health and Human Services 08 DHR 1325 Gray 07/16/08 

Big Z Supermarket, Abdul Hamdan v. Cory Menees, NC Dept. of 08 DHR 1343 Overby 08/27/08 

Health and Human Services 

Alesia Alwahishi dba Brotherhood Market 08 DHR 1356 Gray 07/22/08 

Nigel Brown v. Value Options 08 DHR 1358 Gray 08/29/08 

Michael Grondahl v. DHHS 08 DHR 1491 Gray 08/01/08 

Tyechia Jones v. Value Options/DHHS 08 DHR 1492 Mann 09/18/08 

Kelly A Schofield MD – Clinical Director Youth Quest Inc. v. 08 DHR 1505 Lassiter 09/08/08 

N.C. Department of Health Service Regulation, Mental Health 

Licensure and Certification Section 

Edward Kenneth Smith v. NC Department of Health and Human 08 DHR 1537 Lassiter 09/16/08 

Services, Division of Health Service Regulation 

Elsie Mae Joiner v. Health Care Registry DHHS 08 DHR 1560 Lassiter 09/11/08 

Margaret Brack for Elgin Brack v. Value Options Emery Milliken 08 DHR 1576 Lassiter 08/27/08 

DHHS 

Evans Momanyi Mose v. DHHS, Division of Health Service 08 DHR 1591 Webster 10/01/08 

Regulation 

Draughton's Supermarket, Betty Draughton v. Cumberland 08 DHR 1592 Gray 08/25/08 

County Health Dept. WIC Office 

Tyvonne Sheri Glenn v. Value Options 08 DHR 1628 May 09/19/08 

Amanda Hennes v. N.C. Department of Health and Human Services 08 DHR 1696 Gray 09/22/08 

Bobbie L Cribb v. Office of Administrative Hearings 08 DHR 1714 Gray 09/08/08 

Irene McLendon/Mikala McLendon v. Value Options 08 DHR 1722 Webster 10/01/08 

Keyanna Byrd v. DHHS 08 DHR 1751 Webster 10/01/08 

Joshua Dmae Thompson (Consumer) Sebrena Yvett 08 DHR 1844 Webster 10/01/08 

Thompson (Mother) v. Department of Mental Health 

DEPARTMENT OF JUSTICE 

Dallas Ray Joyner v. Criminal Justice Education and Training Standards 07 DOJ 0719 Overby 04/15/08 

Commission 

Richard Junior Hopper v. Private Protective Services Board 07 DOJ 1071 Webster 02/21/08 

Sheldon Avery McCoy v. Criminal Justice Education and Training 07 DOJ 1162 Mann 04/07/08 

Standards Commission 

David Steven Norris v. Private Protective Services Board 07 DOJ 1256 Elkins 04/16/08 

Scott McLean Harrison v. North Carolina Criminal Justice Education 07 DOJ 1330 Webster 06/24/08 

And Training Standards Commission 

Brian Campbell v. Department of Justice, Company Police Program 07 DOJ 1344 Webster 02/25/08 

John Mark Goodin v. Alarm Systems Licensing Board 07 DOJ 1405 Lassiter 04/04/08 

James Lee Rodenberg v. Depart. of Justice, Company Police Program 07 DOJ 1434 Webster 02/25/08 

Michael L. Scriven v. Private Protective Services Board 07 DOJ 1483 Elkins 03/25/08 

Lamuel Tommy Andersonv. North Carolina Department of Justice 07 DOJ 1500 Joseph 06/03/08 

Campus Police Program 

Roger Wayne Mungo, Jr., Sheriffs' Education and Training Standards 07 DOJ 1510 Overby 05/19/08 

Commission 

Steven L. Haire v. North Carolina Department of Justice, Campus 07 DOJ 1558 Joseph 05/22/08 

Police Program 

Iris Nina Bumpass v. Criminal Justice Education and Training Standards 07 DOJ 2071 Webster 05/16/08 

Commission 

Michael Gerald Copeland v. Private Protective Services Board 07 DOJ 2286 Gray 07/17/08 

Leigh Ann Branch v. N.C. Sheriffs’ Education and Training 08 DOJ 0177 Gray 06/23/08 


Jimmy Dean Poston v. N.C. Sheriffs' Education and Training 08 DOJ 0179 Webster 08/28/08 


Katheryn Renee Johnson v. North Carolina Sheriffs’ Education 08 DOJ 0180 Brooks 06/18/08 


Gerald Boyce Bond, Jr. v. N.C. Sheriffs’ Education and Training 08 DOJ 0181 Gray 07/14/08 


Lamar Krider v. N.C. Sheriffs’ Education and Training Standards 08 DOJ 0183 Gray 06/20/08 

Commission 


887


John Edward Isaacks, Jr. v. North Carolina Sheriffs’ Education 08 DOJ 0184 May 06/18/08 


Anthony Ray Haynie v. N.C. Sheriffs’ Education and Training 08 DOJ 0207 Brooks 08/06/08 


Anthony Ray Haynie v. N.C. Sheriffs’ Education and Training 08 DOJ 0532 Brooks 08/06/08 


Jonathan R. Elam v. Private Protective Services Board 08 DOJ 0568 Webster 05/08/08 

Wilford Odell Hamlin v. Private Protective Services Board 08 DOJ 0713 Joseph 05/01/08 

Stephen Joseph Ciliberti v. N.C. Private Protective Services 08 DOJ 0858 Gray 07/15/08 

Board 

Deborah Moore Anderson v. North Carolina Sheriffs’ Education 08 DOJ 1038 Brooks 05/28/08 


Dustin Elvin Campbell v. Criminal Justice Education and Training 08 DOJ 1078 Lassiter 07/14/08 


Cynthia Kay Saintsing v. Criminal Justice Education and Training 08 DOJ 1079 Lassiter 07/14/08 


Timothy C. Darrh v. DHHS/Value Options 07 DOJ 1239 Overby 07/07/08 

David Alan Moore v. North Carolina Private Protective Services 08 DOJ 1264 Morrison 07/21/08 

Board 

Gregory Alan Hooks v. NC Alarm Systems Licensing Board 08 DOJ 1265 Morrison 07/10/08 

Tina Ann Ward v. N.C. Sheriffs' Education and Training Standards 08 DOJ 1273 Gray 08/29/08 

Commission 

DEPARTMENT OF LABOR 

Sandra Leroux, Leroux Entertainment Corporation d/b/a Spectacular 08 DOL 0754 May 07/08/08 

Events! V. DOL 

DEPARTMENT OF TRANSPORTATION 

Kevin Douglas v. Dept. of Justice Criminal Justice Standards, DMV 07 DOT 2221 Webster 05/12/08 

License and Theft, Holly Springs Police Department 

DEPARTMENT OF STATE TREASURER 

Trevor Allan Hampton v. N.C. State Retirement Systems 07 DST 1493 Overby 09/08/08 

Patricia V. Leonard v. State Treasurer/Retirement Systems Division 07 DST 1928 Lassiter 03/12/08 

William S. Greene v. DST, Retirement Systems Division 08 DST 0235 Gray 07/16/08 23:05 NCR 524 

Jerry Alan Reese v. DST, State and Local Finance Division and the Local 08 DST 0256 Morrison 07/25/08 

Government Commission 

EDUCATION, STATE BOARD OF 

Bradford Dale Gulley v. Depart. of Education Attorney Generals Office 07 EDC 1486 Webster 05/16/08 

Lucretia Burrus v. State Board of Education 07 EDC 2210 Webster 05/16/08 

Gregory Bates v. DPI, Licensure Section 07 EDC 2238 Gray 04/30/08 

Heather S. Brame v. State Board of Education 07 EDC 2287 Joseph 05/07/08 

Sandra Chesser v. State Board of Education 08 EDC 0022 May 04/30/08 

Terry L Moore v. N.C. Department of Public Instruction 08 EDC 0386 Morrison 07/22/08 

Hubert Thomas Byrum v. Office of State Superintendent 08 EDC 0619 Gray 06/04/08 

Gary Alan Cooper v. N.C. State Board of Education 08 EDC 0920 Gray 08/01/08 

Selena Blad v. NC Board of Education 08 EDC 1316 Brooks 09/17/08 

DEPT. OF ENVIRONMENT AND NATURAL RESOURCES 

Henry S. Cowell, III and Carolyn Dressler v. DENR, Div. of Coastal 06 EHR 1185 Brooks 05/30/08 23:05 NCR 501 

Management 

Robin R. Moore v. DENR, Division of Waste Management 06 EHR 1479 Lassiter 03/24/08 

NC Coastal Federation v. DENR, Division of Coastal Management and 07 EHR 0345 Lassiter 04/07/08 

Wind over Waves, LLC 

John B. Chastain, Jr., W.B. Chastain v. N.C. Department of 07 EHR 0722 Brooks 06/26/08 

Environment and Natural Resources 

Terry Hill DAQ 2007-015 v. DENR, Division of Air Quality 07 EHR 0937 Morrison 04/08/08 

Frank Home Construction, Inc. v. Division of Water Quality 07 EHR 1061 Webster 05/12/08 

Durham Land Associates LLC v. County of Durham, Engineering 07 EHR 1140 Overby 08/20/08 

Department 

Durham Land Associates LLC v. County of Durham, Engineering 07 EHR 1141 Overby 08/20/08 

Department 

Martha and Charles Morton v. N.C. Department of Environment 07 EHR 1297 Overby 06/02/08 

And Natural Resources 

Kenneth & Mary Anne Sutton v. DENR, Division of Coastal 07 EHR 1316 Overby 05/09/08 

Management 

William Lewell Huff v. N.C. Department of Environment and 07 EHR 1579 Overby 06/02/08 

Natural Resources 


888


Stridemark, LLC v. North Carolina Department of Environment and 07 EHR 1564 Webster 07/17/08 

Natural Resources, Division of Air Quality 

Gleason James v. Appalachian District Health Department 07 EHR 2073 Brooks 09/05/08 

Frank Myers Investments, LLC v. DENR 07 EHR 2377 May 05/28/08 

W Russell Overman Martin County Water & Sewer District v. DENR 08 EHR 0345 Gray 06/10/08 

Public Water Supply Section 

Ray Poole's Park, Jean Poole v. DENR, Public Water Supply Section 08 EHR 0563 Joseph 05/16/08 

Joe S. Edge Sr. v. N.C. Department of Environment and Natural 08 HER 0757 Gray 09/17/08 

Resources 

Donald Lindsay v. Cherokee County Health Dept. 08 EHR 0764 Brooks 07/10/08 

Joel M. Walker v. Division of Water Quality Well Contractors 08 EHR 0985 Joseph 06/11/08 

Certification Commission 

Eddie Verdis Hood v. N.C. Department of Environment and Natural 08 EHR 1073 Overby 07/30/08 

Resources 

Research Triangle Institute v. Division of Waste Management, Hazardous 08 EHR 1100 Overby 07/11/08 

Waste Section, DENR 

Tracie Locklear, Ammie Brewer-James, Native Designs Hair & Tanning 08 EHR 1143 Gray 7/17/08 

Salon v. DENR, Health Radiation Protection 

Donna C Garrett v. Cherokee County Health Dept., Environmental 08 EHR 1246 Brooks 09/09/08 

Health Division 

Roray Kent Mishak, Town of China Grove v. NCDENR, Public 08 EHR 1573 Brooks 09/08/08 

Water Supply Section 

DEPARTMENT OF INSURANCE 

Sandra Vanderbeek v. Teachers' and State Employees' Comprehensive 07 INS 1130 Overby 03/12/08 

Major Medical Plan 

Alesha D Carter v. State Health Plan 07 INS 1858 Lassiter 05/19/08 

MISCELLANEOUS 

Kevin Edral Douglas v. Wake County District Attorney, DMV 07 MIS 1976 Webster 05/12/08 

Jeannie L Day v. City of Asheville Control, Brenda Sears Officer 08 MIS 0895 Brooks 08/18/08 

White 

Promise Land Ministries Inc., Joel K. Wilson v. Mitchell 08 MIS 1447 May 09/17/08 

County Tax Assessor and Board of Equalization 

OFFICE OF STATE PERSONNEL 

Marsha A Early v. Durham County Department of Social Services 01 OSP 0279 Lassiter 04/02/08 

Scott Burgess v. N.C. Department of Crime Control and 07 OSP 0052 Gray 07/16/08 

Public Safety, N.C. Highway Patrol 

Divina P. Shields v. North Carolina State University 07 OSP 0317 Lassiter 07/11/08 

Jacqueline B. Maynard v. UNC 07 OSP 0575 Webster 04/08/08 

Warren R. Follum v. NCSU 07 OSP 0577 Webster 03/21/08 

Sharon P. House v. UNC 07 OSP 0630 Webster 04/08/08 

Pam Moses v. Macon County Health Department 07 OSP 0945 Overby 06/30/08 

Cassandra F. Barner v . Halifax County Department of Social Serv. 07 OSP 1186 Joseph 05/16/08 23:05 NCR 528 

Michael Shelton Woody v. DENR, Division of Forest Resources 07 OSP 1255 Brooks 05/13/08 

Kellee M. Buck v. Dare County Department of Social Services 07 OSP 1385 Overby 05/27/08 

Dennis E. Hrynkow v. Dept. of Insurance 07 OSP 1400 Joseph 04/03/08 

Stacey M. Gasgue v. N.C. Department of Corrections 07 OSP 1479 Overby 06/09/08 

James Dobaly v. North Carolina Department of Health and Human 07 OSP 1873 Lassiter 07/02/08 

Services 

Adley K. Prager v. Dept. of Crime Control and Public Safety and 07 OSP 2011 Webster 05/29/08 

Butner Public Safety 

Charlene J. Shaw v. Peter Bucholz, Hoke Correctional Institution 07 OSP 2012 Joseph 04/07/08 

Jacqueline Burkes v. DOC, Hoke 4320, Mr. Peter Bucholz 07 OSP 2047 Joseph 04/07/08 

Charles Jones v. Bryan Beatty, Secretary of Crime Control & Public 07 OSP 2222 Morrison 06/05/08 23:01 NCR 147 

Safety and The Dept. of Crime Control & Public Safety (NC 

Highway Patrol) 

Norman K. Goering v. Crime Control and Public Safety, Highway 07 OSP 2256 Joseph 07/29/08 23:05 NCR 547 

Patrol 

Kimberly James v. UNC-Charlotte 08 OSP 0146 Webster 05/08/08 

Nancy Hester v. Guilford County AOC Pretrial Services 08 OSP 0224 Overby 06/19/08 

Ray Stanford Williams Jr. v. NC Department of Cultural Resources 08 OSP 0529 Morrison 08/19/08 

Laura L. Holliman v. Caledonia Correctional Inst. 08 OSP 0591 Gray 07/08/08 

Ashley K. Severson v. Greene County 08 OSP 0611 Joseph 07/29/08 

Sharon V Blackmon v. Office of Administrative Hearings 08 OSP 0624 Gray 09/19/08 

Richard D. Lincoln v. DOT 08 OSP 0801 Gray 05/27/08 

Robert M. Hewitt v. Morrison Correctional Institute 08 OSP 0971 Gray 06/26/08 

Kenyatta Burrus v. Craven County Clerk of Superior Court 08 OSP 1089 Overby 06/12/08 

Dexter J. Hill v. Department of Agriculture and Consumer Services 08 OSP 1167 Overby 07/08/08 


889


Rita McKeithan v. Stanly County Department of Social Services 08 OSP 1240 May 08/26/08 

Dianna Humphrey v. Caswell Center 08 OSP 1327 Lassiter 07/02/08 

Charles Godwin v. NC Department of Crime Control and Public 08 OSP 1463 Lassiter 07/28/08 

Safety 

Vincent Morton v. Cherry Hospital 08 OSP 1497 Webster 09/16/08 

Kyla Solomon v. Office of Citizen Services 08 OSP 1547 Lassiter 07/22/08 

Richard Manson v. NC A&T State University 08 OSP 1561 Brooks 09/25/08 

Richard T Ward v. NC DOT Ferry Division 08 OSP 1617 Lassiter 08/27/08 

Patrice A Bernard v. NC A&T 08 OSP 1724 Gray 09/18/08 

RESPIRATORY CARE BOARD 

Angelique Thompson v. Respiratory Care Board 07 RCB 1176 Gray 03/13/08 23:01 NCR 153 

DEPARTMENT OF REVENUE 

Parker Bark Company Inc. v. Department of Revenue 08 REV 1228 Overby 06/17/08 

Deandra A. Scott v. Department of Revenue 08 REV 1180 Overby 07/01/08 

Goretty Williams v. Department of Revenue 08 REV 1227 Overby 07/08/08 

Anthony Chad Bynum v. Department of Revenue 08 REV 1268 Overby 07/09/08 

OFFICE OF SECRETARY OF STATE 

Richard C Garrard Jr. v. NC Department of Secretary of State 07 SOS 2080 Brooks 09/12/08 

Bennett Jeffrey Packer v. North Carolina Department of The 07 SOS 2241 May 06/09/08 

Secretary of State 

Hope Taylor (formerly Taylor-Guevara) v. North Carolina 07 SOS 2280 Joseph 05/21/08 

Department of The Secretary of State 

Robert C Garrard Jr. v. NC Department of Secretary of State 08 SOS 0523 Brooks 09/12/08 

Wendy Branch Miller v. SOS 08 SOS 1018 Lassiter 07/14/08 

UNC HOSPITALS 

Charity Smith v. UNC Hospitals 08 UNC 0533 Gray 07/28/08 

Jimmy L. Holder v. UNC Hospitals 08 UNC 0589 May 07/29/08 

Barbara C. King v. UNC Hospitals 08 UNC 0805 May 07/29/08 

Eva Kali Green v. UNC Hospitals 08 UNC 0841 May 09/22/08 

Kaprina Wells v. UNC Hospitals 08 UNC 0860 Gray 07/28/08 

Rolie Adrienne Webb "Andi" v. UNC Hospitals 08 UNC 0881 Gray 06/11/08 

Marcus M. McCullers v. UNC Hospitals 08 UNC 0928 Gray 07/30/08 

Satarah K. Latiker v. UNC Hospitals 08 UNC 0952 May 08/21/08 

Mary C. Gessell v. UNC Hospitals 08 UNC 0981 Joseph 09/18/08 

Richard and Amy Whitt v. UNC Hospitals 08 UNC 1048 May 08/15/08 

John G Sell v. UNC Hospitals 08 UNC 1334 Joseph 08/26/08 

WELL CONTRACTORS CERTIFICATION COMMISSION 

Charles P. Pool v. Well Contractors Certification Commission 08 WCC 0514 Gray 07/15/08 

WILDLIFE RESOURCES COMMISSION 

Lisa Roddy v. Wildlife Resources Commission 08 WRC 0970 Brooks 06/24/08 

Rickey Dale Logan 08 WRC 1229 Lassiter 07/28/08 


890

NC Register Volume 23 Issue 09 - Office of Administrative Hearings

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